Financial Advisor

Harrison Gray Search & Consulting - Defiance, OH

Our client is looking for a Financial Advisor to join their team. 

General Responsibilities

Responsible for performing duties relating to the sale of various brokerage and trust products; achieving sales goals as part of the business objectives; complying with operating policies and procedures established for the financial services function; communicating with appropriate personnel; responding to inquiries or requests for information; maintaining appropriate records and providing assigned reports.

Basic Qualifications:

Education/Training:  A B.S. or B.A. degree in a related field of study preferred; specialized insurance and financial services education and training; State Insurance/Health License; Series 6, 63 and 7 licenses.

Skills: Proficient reading, writing, grammar, and mathematics skills; proficient interpersonal relations, communicative and sales skills; moderate PC skills; a thorough knowledge of current brokerage regulations; visual and auditory skills; valid driver's license.

Experience: A minimum of four (4) years’ experience in a related position preferred.

Essential Duties:

1. Provides direct customer services relating to various brokerage and trust products and services as follows:

  • Responds timely to referrals from internal personnel and clients.
  • Establishes a business/marketing plan in order to meet established goals and objectives.
  • Prepares client files and maintains appropriate records and documents in accordance with internal policies and external regulations.

2. Performs duties relating to the sale of various brokerage and trust products as follows:

  • Maintains appropriate licenses to execute broker and insurance sales functions.
  • Provides brokerage services to customers in accordance within established sales objectives on an annual basis as warranted; this activity to be integrated with the division’s annual marketing/sales plan.
  • Promotes all Bank and trust services while specializing in brokerage and other investment products.
  • Gathers and documents necessary information from customers.
  • Maintains an active awareness of changes in legal requirements which may affect the insurance accounts.
  • Handles incoming phone calls from customers.
  • Accepts customer buy-sell orders for securities and completes the transaction.
  • Communicates varied customer service needs to the home office; resolves account problems; handles all follow-up paperwork.
  • Maintains customer files on computer and on hard copy.
  • Strictly adheres to compliance guidelines ensuring that all records are up-to-date and ready for audit.
  • Handles deposit of customer funds and securities.
  • Makes requested check disbursements to customers.

3. Directly supervises assigned personnel as follows:

  • Assists in the selection of new personnel as appropriate.
  • Makes provisions for the proper orientation and training of new personnel.
  • Reviews employee performance throughout the probationary period and on a regularly scheduled basis thereafter.
  • Organizes, schedules, and distributes work among assigned personnel.
  • Keeps personnel informed of pertinent policies and procedures affecting the division and/or their jobs; creates an atmosphere in which upward communication from employees is encouraged.
  • Administers personnel policies and procedures as established by company policy.

4.  Abides by the current laws and organizational policies and procedures designed and implemented to promote an environment which is free of harassment and other forms of illegal discriminatory behavior in the work place.

5.  Cooperates with, participates in, and supports the adherence to all internal policies, procedures, and practices in support of risk management and overall safety and soundness and the bank's compliance with all regulatory requirements, e.g. Community Reinvestment Act (CRA), Bank Secrecy Act (BSA), Equal Credit Opportunity Act, etc.; ensures that the department and all personnel adhere to the same.

6. Complies with established operating policies and procedures in order to maintain adequate controls and to support the organization’s adherence to outside regulatory requirements.

7. Communicates with management and staff personnel in order to integrate goals and activities.

8. Responds to inquiries relating to his/her particular area, or to requests from other personnel, customers, etc., within given time frames and within established policy.

9. Maintains appropriate records and provides assigned reports, including sales reports.

 

 



Posted On: Wednesday, December 12, 2018



Position Contact
Charity Hannah
Executive Search Consultant
(616) 217-2288
Grand Rapids, MI
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