Senior Financial Advisor, Vice President


Bakersfield, CA

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:

  • Responsible for the advising and servicing of UnionBanc Investment Services products to internal and external prospects of the bank. These activities include:
  • Profiles clients by obtaining financial information and suitability information.
  • Advises on the customized investment needs.
  • Assesses client investment needs and goals, reviews existing investment portfolios /allocations and develops plan to meet the client needs.
  • Advices to customers on a wide range of comprehensive investment products that include stocks, bonds, options, mutual funds, securities, annuities, insurance products, etc.
  • Interprets financials market information on pricing, PE information, volume trends, etc and other updates.
  • Follow ups with client contact to close the sales.
  • Requires extensive financial analysis review of the client's financial statements and assessment of suitability of investment products.
  • Responsible for new sales generation thru referral activities. Maintains existing relationship with clients in order to manage future investment needs.
  • Conducts marketing campaigns and business development functions, such as seminars and client appreciation events.
  • Responsible for expanding customer relationships.
  • Works with assigned branches to enhance the overall banking relations and Bank wide products offered to customers Responsible for all administrative compliance activities.

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.

  • Requisition #: 10016147-WD