Job Description

Centralized Wealth Advisor

SUMMARY Under the direction of the VP Investment Services, serve the financial needs of credit union Members utilizing a Total-Needs, Consultative Based selling approach. Based within Wealth Management Department, this position will assume the investment accounts within the $50,000 range, as well as take investment service calls. All Member Care Center (MCC) referrals will be sent to this individual for profiling and possible dissemination to a regional Financial Advisor. You will help members identify their financial goals and objectives using an approved profile form and establish relationships through continuous periodic reviews as an essential part of the consultative, trusted advisor approach. The objective of this position is to service assigned referrals and smaller assigned member investment accounts. Experience is required.

ESSENTIAL DUTIES AND RESPONSIBILITIES include the following. Other duties may be assigned.

  • Present a professional image and cultivate a strong working relationship with credit union Associates, Members, and other key people involved in the credit union.
  • Cultivate strong working relationships and build trust among credit union staff by attending and participating in staff meetings and other Credit Union staff functions.
  • During the initial probationary period (90 days) this position will ‘shadow’ a regional Financial Advisor, schedule phone based appointments, and provide general department support duties. Post probationary period, this position will begin meeting with members by phone or in person on a mutually prescribed schedule. Over time a book of business will develop and be the main responsibility of this position.
  • Support efforts of regional FA’s as a department resource partner. Implement the phases of the Wealth Department Marketing Plan to consistently generate a minimum of 15-20 phone appointments/interviews per week with members.
  • Follow the sales process and procedures as established by the broker dealer Compliance Department. Also 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 Members and Associates which in the same circumstance we would demand for ourselves.
  • Follow the established guidelines for maintaining client files in accordance with broker dealer practices and FINRA requirements.
  • Meet credit union cross-selling goals as established with credit union Branch Management.
  • Attend all required training, informational meetings scheduled by regional Financial Advisor and broker dealer Compliance.
  • Insure duties are performed in accordance with just and equitable principles of trade, federal and state laws, industry regulations and credit union policies.
  • Stay abreast of current legislation, regulations and policies.
  • Complete and submit weekly activity reports.

Education and/or Experience

  • College degree, preferably in Business or Insurance, or equivalent work experience.
  • 2-5 years proven sales and services success experience.
  • Arizona Life/Health Insurance License.
  • FINRA Registration: Series 7; Series 66 (or Series 63 & Series 65).
  • Ability to take coaching advice and direction from Wealth Management Leadership.

2355 W. Pinnacle Peak Rd., Phoenix, AZ 85027 USA

Application Instructions

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