Financial Services Professional

3 weeks ago

Spokane, Washington, United States Numerica Credit Union Full time
Job Summary:

As a Financial Advisor at Numerica Credit Union, you will play a vital role in helping our members achieve their financial goals. This position requires a high level of administrative and communication skills to ensure the proper dissemination of information throughout the organization and to members. Confidentiality, speed, and accuracy are vital to the successful execution of this position. A high level of professionalism is required at all times. Good communication and coordination with the Financial Planners and other branch staff are essential.

Key Responsibilities:

Cultivate strong working relationships and build trust among credit union staff and members along with other key local people in the community.
Help employees, members, and/or clients by assessing their financial goals, needs, and objectives while providing them with exceptional personalized service and investment solutions.
Analyze client financial information (including assets, income, debts, and other liabilities, cash flow, and tax status) investment objectives and goals and determining which financial products best meet individual customers' needs and financial circumstances.
Services and performs periodic reviews of existing client accounts and meet with the clients periodically to review and update client needs ensuring investment objectives and goals are progressing according to plan.
Stays current and analyzes market conditions and otherwise educating and updating themselves about financial and investment vehicles in the market and the tax and securities consequences to clients of particular investments.
Attends training and/or completing required continuing education and keeps current of investment products and services offered.
Drives investment and program integration initiatives with the credit union, including branch staff training. Provides regular feedback to identify cross-sell opportunities.
Identifies and develops strategic relationships with internal credit union partners, wholesalers, and centers of influence (CPA's & Attorneys).
Identify Financial Planning opportunities, gather financial documentation and goals, prepare and analyze plan and present plan to client. Review plan on an annual basis or as needed.
Follows the rules and regulations set forth by the credit union, FINRA, SEC, and the broker/dealer.
Achieves or exceeds revenue, referral, financial plan, and insurance goals assigned. Meet regularly with Program Manager to determine goals, performance expectations, and professional development.
Maintains responsibility for retaining and expanding assigned book of relationships and accounts, maintaining knowledge of intricacies of each account relationship in order to provide superior service to clients and credit union members.
Sets and monitors proactive client contact standards for each individual relationship.
Participate in the overall Marketing Plan for Numerica Financial Services on at least an annual basis. Develop a personal marketing plan that connects with the overall marketing plan of both the credit union and NFS.
Consistently generate a minimum of 15-20 appointments/interviews per week with members.
Follow the sales process and procedures as established through the MEMBERS Financial Services program.
Follow the established insurance and securities compliance guidelines, and strictly adhere to all company policies.
Follow established policies and procedures of ethical market conduct. Conduct business according to high standards of honesty, fairness, and integrity and render service to customers which in the same circumstance we would demand for ourselves.
Follow the established guidelines for maintaining client files in accordance with company practices and FINRA requirements.
Meet or exceed the minimum program validation standard along with a product mix of business in line with Presidents Council standards for product mix. Meet Credit Union cross-selling goals as established in the Credit Union commitment letter.
Attend all required training, informational meetings scheduled by Program Manager and/or company.
Complete and submit weekly activity reports promptly to the district office
Orders and maintains current prospectuses and other related materials for approved funds and investments. Mails prospectus information to members as required.
Searches for opportunities to make personal workflow of assigned responsibilities more efficient.
Maintains knowledge and adheres to all BSA regulations and compliance standards on internal and external policies.
Accurately processes new account forms, orders tickets and related forms.
Effectively incorporates concepts of CML and CARES Principles in daily behaviors and interactions: Connect - Create a welcoming, energized, and warm environment, Ask - Discover and confirm others' needs to ensure they feel understood and known, Resolve - Take personal and full responsibility for meeting others' needs, Elevate - Commit to long-term personal and organizational growth and improvement, Strengthen - Invest in our Numerica community and beyond.
Oversees special projects as assigned.

Requirements:

Bachelor's degree in related field, plus 3-5 years previous brokerage/investment experience. Must have Series 7, 65 or 66 and insurance licensed. Thorough knowledge of securities industry rules and regulations. Must be proficient in Microsoft including Word, Excel, Outlook, and Access.
Ability to read and comprehend simple instructions, short correspondence, and memos. Ability to write simple correspondence. Ability to effectively present information in one-on-one and small group situations to members, outside vendors, and other employees of the credit union.
Courtesy, tact, and diplomacy are essential elements of the job. Work involves much personal contact with others inside and/or outside the organization, generally regarding routine matters for purposes of giving or obtaining information which may require some discussion. Takes initiative to improve his or her own performance. Provides leadership and/or subject matter expertise on financial solutions and strategies.
Ability to operate telephone system, including voice mail feature, intercom, and related. Ability to operate Fax machine, typewriter, photocopier, and related equipment generally found in a business office. Ability to navigate and research on the Internet and locate various websites. Ability to lift up to 25lbs.

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