Industry: Business Services•
Less than 5 years
Posted 344 days ago
Job Summary: Responsible for the advising, selling and servicing of UnionBanc Investment Services products and services. Major Responsibilities:
Completes and maintains all required paperwork associated with the sales and maintenance of client accounts. This includes suitability update forms, account applications, acknowledgement forms, and any other required compliance paperwork depending on business done. All sales must be documented and paperwork provided must be able to support all recommendations and suitability requirements. Paperwork must be sent in for master files and individual files must be maintained at the branches for auditing purposes and follow-up. Each branch office must office be maintained by reps to satisfy regulatory requirements. Working space and literature must adhere to compliance requirements and be kept updated accordingly.
Additional Information: MINIMUM JOB REQUIREMENTS: Required Licenses: FINRA Series 7, 66 (or S-63 and 65) & respective State Life Insurance License. Generally requires a minimum of 3 years of proven investment sales experience. Requires the ability to maintain a book of clients. Requires developed verbal and written communications and interpersonal skills. Must show success in soliciting new relationships and customers. They are not intended to be construed as an exhaustive list of all responsibilities, duties, and skills required of personnel so classified.