About this opportunity
Opportunities lists this Financial Advisor opportunity in buffalo, New York. Review the employer’s description below for duties, qualifications and application requirements.
Job description
Financial Advisor - VC
Financial Advisor - VC is responsible for the development of new business on the financial services platform and maintaining relationships with numerous sources of new business including company officials, life underwriters, attorneys, accountants and social acquaintances. The Financial Advisor- VC will also discuss the advantages of proper planning and obtaining background information on corporate or personal finances, family relationships and employee status.
Essential Functions:
Develop new business on the financial services platform
Retain existing business
Initiate contacts for developing and closing new business
Conduct securities buying and selling
Develop and meet with prospects to explain Northwest's investment services
Discuss the advantages of proper planning and obtaining background information on corporate or personal finances, family relationships and employee status
Maintain an ongoing relationship with existing customers to retain and develop business
Develop a high community profile
Utilize Northwest office network for referrals and prospects
Ensure mailing lists are maintained and participating in marketing initiatives and campaigns
Conduct educational meetings as required
Communicate on the development of new business accounts
Administer certain client accounts as required
Assist with setting personal goals and targets
Meet and/or exceed annual production guidelines
Cultivate potential referrals from existing clients, Retail Offices, Northwest's departments and centers of influence in the community
Complete financial profiles and accurately analyze customer needs and prepare proposals
Recommend products and services accordingly, taking into account all available alternatives
Perform presentations, meetings, and seminars with prospects
Finalize new agreements and all supporting new account documentation with customers
Cross-sell other Northwest products and services
Provide product and services training for Retail Office and Northwest Department personnel on a periodic basis
Ensure Compliance with FINRA/SEC regulations and requirements (licensed representatives)
Provide required reporting on a timely basis
Monitor client accounts on an ongoing basis
Review customer account transactions daily
Coordinate customer documentation and agreements
Schedule client meetings on a periodic basis
Conduct regular investment/relationship reviews as required to retail client relationship, and securities buying and selling as directed by client (licensed representatives)
Complete timely buying and selling (licensed representatives)
Oversee/schedule client distributions / bill payments
Review financial / investment markets daily
Ensure total document and data integrity
Develop a high community profile
Initiate and author client correspondence
Assure accurate information passed to Operations
Oversee system coding on individual accounts
Adhere to stated fee schedules
Minimize nonstandard fee schedules
Additional Essential Functions:
Ensure compliance with Northwest's policies and procedures, and Federal/State regulations
Navigate Microsoft Office Software, computer applications, and software specific to the department in order to maximize technology tools and gain efficiency
Work as part of a team
Work with on-site equipment Safety and Health for Supervisors without Direct Reports
Discourage any unsafe work habits by setting a good example for employees by following the required safe work practices as indicated by the safety and loss prevention program
Consistently and fairly enforce safe work practices
Ensure that each employee knows what to do in the event of an emergency
Qualifications:
Bachelor's Degree Finance / related degree preferred
6 - 8 years relevant experience
Ability to establish effective working relationships among team members and participate in solving problems and making decisions
Ability to present and express ideas and information clearly and concisely in a manner appropriate to the audience, whether oral or written
Ability to actively listen to what others are saying to achieve understanding, sharing information with others and facilitating the open exchange of ideas and information
Ability to establish courses of action for self to accomplish specific goals, develop and use tracking systems for monitoring own work progress, and effectively use resources such as time and information
Ability to make right decisions based on perceptive and analytical processes, practicing good judgment in gray areas
Ability to analyze financial data
Knowledge of mutual funds, stocks and bonds
Knowledge of investment markets, general economic fundamentals and available products and services
Knowledge of Custodian Accounts
Knowledge in Investments, IRA's and Estates
Knowledge of Fiduciary, ERISA and brokerage account types
Knowledge of Employee Benefits
Licenses and Certifications:
Series 7 In relevant states Upon Hire
AndLife/Acc/Health In relevant states Upon Hire
AndSeries 63 In relevant states Upon Hire
AndSeries 65 In relevant states Upon Hire OrSeries 66 In relevant states Upon Hire
Northwest is an equal opportunity employer. We are committed to creating an inclusive environment for all employees.
Worksite address
buffalo, NY, 14266, US
Who can apply
Review the original listing for work authorization, qualifications and employer requirements.