Investment Services - Financial Advisor - Central Coast
Company: Golden 1 Credit Union
Posted on: January 12, 2022
Our headquarters in Sacramento contains the core functions that
support our mission to deliver financial solutions with value,
convenience and exceptional service to our members. TITLE:
Financial Advisor - New Territory DEPARTMENT: Investment Services
STATUS: - Exempt JOB CODE: 3205GENERAL DESCRIPTION:Meet with Credit
Union members to advise, develop, recommend, implement and monitor
financial planning and investment products and services. The
primary products utilized are mutual funds, annuities, 529 plans
and life insurance. TASKS, DUTIES, FUNCTIONS:
- Meet with members to mutually define their personal and
financial goals, needs and priorities for the development of
individual financial plans.
- Introduce non-deposit investment and insurance products
maintaining compliance standards set forth by the NASD, SEC and
current broker dealer's compliance officer.
- Maintain a thorough understanding of state and federal laws and
regulations related to credit union compliance including bank
secrecy and anti money laundering laws appropriate to the
- Develop, maintain and update member-client information and
files in an accurate and compliant manner.
- Conduct member-client portfolio reviews on a periodic
- Meet with assigned branch managers and staff on a regular basis
to educate on referral opportunities and to encourage referral
- Work with the Education Department to conduct investment
related workshops for management, staff, and/or members.
- Keep up to date and knowledgeable of current investment
products offered through our broker/dealer.
- Complete and submit weekly activity reports, annual marketing
and business plans, quarterly business plan reviews and other
reports as assigned on a timely basis.
- Answer general questions from members in regard to investment
and credit union products and services.
- When appropriate promote cross-referrals or cross-sales of
credit union products. PHYSICAL SKILLS, ABILITIES, AND EXERTION
UTILIZED IN THE PERFORMANCE OF THESE TASKS:
- Sufficient manual dexterity to skillfully operate an on-line
computer terminal, financial calculator, and other standard office
equipment, including, but not limited to an adding machine,
facsimile machine, and telephone.
- Effective oral and written communications skills to make
presentations and discuss products and services. ORGANIZATIONAL
CONTACTS & RELATIONSHIPS:
- INTERNAL: Management group and staff.
- EXTERNAL: Members, non-members, Securities Dealers, Insurance
carriers, various vendors and Credit Union league personnel.
- EDUCATION: Bachelors of Arts degree is desired or equivalent
experience in the personal investment field.
- EXPERIENCE: Three years of experience in the sales and delivery
of personal investment products and services with at least one year
experience in a financial institution.
- KNOWLEDGE/SKILLS: Personal computer, oral and written
communication skills, organizational skills, knowledge of credit
union rules, regulations and policies, knowledge of Microsoft
Outlook, Word, Excel, and Access, member relations skills, ten key,
HP Calculator, and Facsimile machine skills. PHYSICAL
- Prolonged sitting throughout the workday.
- Normal corrected vision and hearing range. A telephone device
to enhance hearing will be provided if needed.
- Frequent travel. REQUIRED LICENSES/CERTIFICATIONS:
- Valid California driver's license.
- California Insurance Licenses: Life & Disability.
- FINRA license 7 and 66 registration
- Long Term Care License
- Financial Planning / Wealth Management Designation or obtained
within two (2) years : CFP, CWS, ChFC, AIF, AAMS, CWM, WMS, CWMS,
MFP, MCEP We appreciate your interest in joining the Golden 1 team!
If you are selected to participate in the interview process we will
contact you. - -
Keywords: Golden 1 Credit Union, Santa Maria , Investment Services - Financial Advisor - Central Coast, Accounting, Auditing , Atascadero, California
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