Provides investment consultation to the public on stock, bond, annuities, mutual funds and related securities.
ESSENTIAL JOB RESPONSIBILITIES
1. Assists clients in meeting their financial goals through personalized, in-depth counseling and recommends appropriate financial investments.
2. Responsible for all aspects of handling the customer account from money and securities transfers to verifying the accuracy of statements.
3. Provides a high level of customer service. Answers client questions and concerns.
4. Contributes to the profitability of CWS by generating annual sales revenue while also controlling expenses.
5. Ensures proper account documentation.
6. Verifies and monitors client financial condition on a continual basis.
7. Keeps current on financial markets and securities of importance to clients. Continually reviews research materials and financial news for areas of opportunity and concern.
8. Conducts investment seminars for clients and prospects.
9. Responsible for complying with the various rules, regulations, policies and ethical standards governing the financial services industry including compliance with the Bank Secrecy Act.
10. Performs other duties as assigned.
· This position does not include supervisory responsibilities.
· Bachelor’s degree (BA/BS) or equivalent from four-year college or university.
· Five years experience as a Financial Advisor with a recognized brokerage firm or bank.
· Series 7, Series 63, Series 65 or Series 66 required.
REQUIRED KNOWLEDGE, SKILLS AND ABILITIES
· Working knowledge of pertinent securities markets and investment vehicles, along with the experience and perspective to know how they affect the proper management of clients’ assets.
· Documented ability to gather client’s assets.
· Initiative, persistence and an entrepreneurial perspective to build a practice.
· Ability to prospect and identify potential new clients.
· Strong interpersonal skills.
· Effective communication skills.
· Ability to work under stress and meet deadlines.
ROUTINE DECISIONS AND FORMAL POLICY SETTING
· Uses current information along with prior knowledge and experience to determine the most appropriate investments for each client.
· Helps to determine the proper asset allocation and investment strategy based on the needs of the individual client.
· Formally responsible for providing input into policies associated with the job’s purpose and essential responsibilities.
The above statements describe the job’s essential responsibilities and requirements. They are not an exhaustive list of the duties that may be assigned to job incumbents.