Financial Services Professional
4 weeks ago
We are seeking a highly skilled Financial Services Professional to join our team at Northwest LLC. As a Financial Services Professional, you will be responsible for developing new business on our financial services platform and maintaining relationships with various sources of new business.
Key Responsibilities- Develop new business on the financial services platform
- Retain existing business
- Initiate contacts for developing and closing new business
- Conduct securities buying and selling
- Develop and meet with prospects to explain Northwest's investment services
- Maintain an ongoing relationship with existing customers to retain and develop business
- Develop a high community profile
- Utilize Northwest office network for referrals and prospects
- Ensure mailing lists are maintained and participating in marketing initiatives and campaigns
- Conduct educational meetings as required
- Communicate on the development of new business accounts
- Administer certain client accounts as required
- Assist with setting personal goals and targets
- Meet and/or exceed annual production guidelines
- Cultivate potential referrals from existing clients, Retail Offices, Northwest's departments and centers of influence in the community
- Complete financial profiles and accurately analyze customer needs and prepare proposals
- Recommend products and services accordingly, taking into account all available alternatives
- Perform presentations, meetings, and seminars with prospects
- Finalize new agreements and all supporting new account documentation with customers
- Cross-sell other Northwest products and services
- Provide product and services training for Retail Office and Northwest Department personnel on a periodic basis
- Ensure Compliance with FINRA/SEC regulations and requirements (licensed representatives)
- Provide required reporting on a timely basis
- Monitor client accounts on an ongoing basis
- Review customer account transactions daily
- Coordinate customer documentation and agreements
- Schedule client meetings on a periodic basis
- Conduct regular investment/relationship reviews as required to retail client relationship, and securities buying and selling as directed by client (licensed representatives)
- Complete timely buying and selling (licensed representatives)
- Oversee/schedule client distributions / bill payments
- Review financial / investment markets daily
- Ensure total document and data integrity
- Develop a high community profile
- Initiate and author client correspondence
- Assure accurate information passed to Operations
- Oversee system coding on individual accounts
- Adhere to stated fee schedules
- Minimize nonstandard fee schedules
- Ensure compliance with Northwest's policies and procedures, and Federal/State regulations
- Navigate Microsoft Office Software, computer applications, and software specific to the department in order to maximize technology tools and gain efficiency
- Assist with setting personal goals and targets
- Recommend improvements to sales and procedures
- Recommend new marketing initiatives / potential new business opportunities
- Recommend additions to product and services offerings
- Complete special projects as they are assigned
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