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Financial Advisor (Hybrid - San Diego, CA)
San Diego, CA
Job Description
As a Financial Advisor with Banner Bank you will be responsible for business development, relationship management, and client experience within an assigned geography. Assist current and potential clients with investment needs, using non-FDIC insured securities and insurance products. Collaborate with business partners to create needs based solutions and services for the client. Oversee a team of Investment Sales Assistants.
In this role you'll have the opportunity to:- Responsible for sourcing and developing qualified client prospects by identifying and utilizing referral sources, outside calling, networking and existing clients.
- Responsible for providing exceptional service to prospects and existing clients seeking objective investment advice and guidance through a professional approach and demeanor. Return calls in accordance with Service Level Agreements and honors the client relationship above personal gain.
- Develop and use a consultative approach in client interviews and communicate all required disclosures while ascertaining all pertinent information about the client, including risk tolerance, time horizon, financial net worth, and ability to understand the products and investment experience.
- Responsible for servicing account relationships on an ongoing basis, meeting with the client periodically to review account activity, profile changes, life events and other discoveries that could affect the management of the account.
- Responsible for working proactively with Bank partners to support prospecting activities and participates in outbound calling efforts.
- Responsible for working within compliance guidelines and policies of the Bank, the third party broker/dealer, and FINRA.
- Responsible for cooperating and participating in the audit process to achieve excellence in audit results. Take responsibility for own portfolio to ensure compliance.
- Responsible for complying with policies, procedures, security requirements, and government regulations. Stay informed of current market trends and emerging products. Maintain all licensing in good standing, completing continuing education courses as assigned by regulation and the Bank.
- Bachelor's Degree: Accounting, Business, Economics, Law, Computer Science or other related field required (an equivalent combination of education and experience may be considered)
- Series 7, 63 and Insurance licenses required
- U-4* required
- 6 or more years of experience in a brokerage program at a wire house, bank or credit union with verifiable gross commission production; or equivalent combination of education and experience required
- Ability to read, analyze, and interpret financial and credit information and governmental regulations.
- Ability to solve practical problems and deal with a variety of concrete variables in situations where only limited standardization exists.
- Ability to write business correspondence and effectively present information and respond to questions from groups of managers, clients, and customers.
- Proficient in MS Office products and other web-based programs.
- Ability to explain complex terms to clients in a clear and simple manner.
- Knowledge of federal and state laws and regulations relating to investment services. *Possess U-4 with no customer complaints, settlements, or adverse actions taken by a prior broker/dealer or regulatory authority.
- The Financial Advisor will receive a monthly base salary of $5,700 paid in semi-monthly equal parts but will not be reduced from the calculated commissions for the first 18 months of plan participation.
- Participation in the Financial Advisor Commission Plan
- Comprehensive employee benefits, including: medical, dental, vision, LTD, STD and life insurance
- Paid vacation time, sick time and 11 company paid holidays401k (with up to 4% match)
- Tuition reimbursement
- Get more information at:
Banner Bank is an Equal Opportunity Employer committed to diversity in the workplace. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, citizenship, marital status, age, disability or protected veteran status.
Job Summary
Start Date
As soon as possible
Employment Term and Type
Regular, Full Time
Required Education
Bachelor's Degree
Required Experience
4 to 6 years
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