Financial Advisor

Job Description

The Financial Advisor (FA) role is a three-year program with a forgivable draw, for financial advisors or planners who will be providing financial planning guidance & selling investment management solutions. A FA will need to leverage their experience to service the unique and complex needs of wealth clients by reviewing financial goals and making investment recommendations aligned to their client's goals. The role will serve as the central point of contact, responsible for providing client service & developing the relationship to achieve greater share of wallet by helping clients achieve their goals related to asset accumulation, preservation, growth, and protection.

Depth & Scope:

• Experience selling investments and providing financial plans

• Demonstrates a commitment to being customer-centric by delivering legendary service during every customer interaction to maximize retention and growth

• Ensures all NEW clients receive the complete on-boarding experience, which includes: a thorough client discovery, completion of a financial needs analysis to provide goals-based advice, an introduction to the centralized client servicing team as per client need, and completion of all requisite client documents

• Ability to partner and promote lead generation

• Manages goals, prioritizes tasks and comfortable working in a fast paced environment

• Ensures all new & existing clients are provided with a planning experience

• Effectively implement a process to ensure every client receives an Annual Client Review (ACR) meeting with an enhanced agenda focused on the client's overall wealth needs, as well as pro-active contacts

• Serves as the primary point of contact for Wealth client relationships; manages all aspects of the client's relationships with Bank and refers to Retail and Wealth partners & affiliates as needed

• Implements and executes a differentiated service model/experience for Wealth clients

• Meets quarterly and annual sales goals

• Deepens wallet share by anticipating client needs and suggesting the most appropriate Wealth solutions. Maximizes profitability, while ensuring the client receives an exceptional client experience

• Identifies opportunities within your portfolio and network to refer business to Retail and Small Business/Commercial Partners

• Executes in thorough manner that is compliant with regulations, policies and procedures

• Adheres to all federal, state, SRO regulations and Firm policies related to all business activities (e.g. OCC, SEC, State Insurance Commissioners, NY Department of Financial Services, etc.)

• Ensures all Continuing Education requirements are attained

• Responsible for understanding and adhering to Bank & Wealth Policies and Procedures

• Responsible for implementing Customer Identification Program (CIP) by collecting and verifying required customer identification information, and performing other Customer Due Diligence and Enhanced Due Diligence Requirements as outlined in the Business Unit AML procedures

• Uncovers client's asset and transitions higher threshold clients to appropriate HNW Wealth partners as needed

• Responsible for fostering and contributing to a positive and constructive work environment with a focus on supporting the overall Wealth team

• Provides coaching, Wealth referral training & on-going feedback to Retail and Small Business staff

• Contributes individually, as a team member and as a mentor to new FAs, to ensure strong performance, collaboration and enthusiasm

• Represents Wealth to the general public in a professional manner

• Is involved in the community and support charity and community initiatives

We are a company committed to creating diverse and inclusive environments where people can bring their full, authentic selves to work every day. We are an equal opportunity/affirmative action employer that believes everyone matters. Qualified candidates will receive consideration for employment regardless of their race, color, ethnicity, religion, sex (including pregnancy), sexual orientation, gender identity and expression, marital status, national origin, ancestry, genetic factors, age, disability, protected veteran status, military or uniformed service member status, or any other status or characteristic protected by applicable laws, regulations, and ordinances. If you need assistance and/or a reasonable accommodation due to a disability during the application or recruiting process, please send a request to [email protected] learn more about how we collect, keep, and process your private information, please review Insight Global's Workforce Privacy Policy:

Skills and Requirements

-Bachelor's degree strongly preferred

-2+ years of providing advice, planning and investment sales

SIE, Series 7, Series 63 required

-Required to have L&H and Series 66 (or equivalent) or the ability to obtain all within the Licensing and Registration Schedule Self-directed, with strong ability to plan own activities to achieve sales and referral goals