Wealth Advisor- Phoenix, AZ
*ACTIVELY HIRING DURING COVID-19*
Our ideal candidate will:
- Serve the investment and planning needs of credit union Members utilizing a Total-Needs Based selling approach
- Help members identify financial goals and objectives from face-to-face financial analysis and identify appropriate insurance and securities products to meet members’ goals and lifecycle objectives
- Establish relationships through continuous periodic reviews as an essential part of the Total-Needs Based Sales process
- Participate in local and community activities necessary to cultivate business outside of the credit union
Why join the OneAZ team:
Our culture is one-of-a-kind. You’ll be joining a team of friendly, hardworking, helpful associates with the same mission guiding all that we do: We exist to improve the lives of our members, our associates and the communities we serve.
We are proud to be an equal opportunity employer and value diversity. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.
We offer robust benefits including low-cost medical, dental and vision plans, gym reimbursement, paid parental leave, generous personal days and vacation time, and an award-winning 401(k) program among many others.
Take a look at our career page for detailed benefit information: jobs.oneazcu.com
A typical day might include the following:
- 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
- Implement the phases of the marketing plan created with the VP Investment Services to consistently generate a minimum of 15-20 appointments/interviews per week with members. Monthly commission goals and activities must be met
- Community involvement is essential to cultivate required business outside of the credit union. Proven ability to production goal without solely relying on CU referrals
- Partner with branch management, lending and Business Services associates to build profitable relationships
- Follow the broker dealer 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 policies and practices and FINRA requirements
- Attend all required training and informational meetings scheduled by VP Investment Services, credit union training department, Risk Management of broker dealer Compliance
- Insure duties are performed in accordance with just and equitable principles of trade, federal and state laws and industry regulations
- Stay abreast of current legislation, regulations and policies
- Complete and submit all required tracking and reporting data into CRM system
- Adhere to all elements of the OneAZ and Broker Dealer Registered Representative Agreements
- Develop an understanding of Credit Union philosophy, organization, bylaws, and operational procedures and comply with the requirements of the Bank Secrecy Act, AML, OFAC and all other applicable State and Federal Financial Institution Regulations
- Other duties as assigned
Education and/or Experience
- Minimum of two years’ work experience as a Financial Advisor
- College degree, preferably in Economics, Finance Business, or equivalent work experience
- AZ Life/Health Insurance License
- FINRA Registration: Series 7, Series 65 (or 66) and Series 63
- CFP designation preferred
Candidates for this position will be required to sign an authorization for OneAZ to conduct a credit and criminal background check, pursuant to procedures in the Fair Credit Reporting Act and any other applicable laws.
All candidates will be considered for this position on an individualized basis, in compliance with all applicable equal employment opportunity laws.
Ensures compliance with applicable policies, laws, and regulations, including the Bank Secrecy Act (BSA), Anti-Money Laundering (AML) compliance, USA Patriot Act, and Office of Foreign Assets Control (OFAC).
Any individual who meets the definition of a mortgage loan originator and is employed by a federal agency-regulated institution will need to be registered on NMLS.
2355 W. Pinnacle Peak Rd., Phoenix, AZ 85027 USA