Senior Financial Advisor

About this role:

Our client is seeking a Senior Financial Advisor in Wealth and Investment Management. Working as a Financial Advisor in the affluent partnership, you will be working with clients in partnership with Branch Banking and Premier.

Job Perks:

• transition bonus (for experienced advisors)
• marketing & biz dev assistance
• guaranteed minimum base

In this role you will:

• Meet with clients to collect financial information, conduct the needed discovery, assess investment needs and evaluate client’s overall financial needs

• Determine which financial products are suitable for the client’s needs and financial circumstances

• Advise clients regarding advantages and disadvantages of different financial products such as mutual funds, advisory, annuities, insurance and investments

• Meet all the financial needs of the client through enterprise partnerships

• Identify and refer clients to other financial services and specialists as may be appropriate

• Provide client support, including to clients referred by other Our Client channels

• May conduct investment seminars to promote our client and available products to new and existing clients

• Participate in various community and business activities to build and expand relationships and meet potential new clients

• Conduct branch training sessions and in-branch coaching with team members

• Present Premier as a team, with your Premier Banker partner

• Engaged in partnership activities with assigned locations

• Partner with and mentor Licensed Bankers Relationship Bankers and/or Licensed Premier Bankers

• Partner with and refer cross-marketing opportunities to other WFB channels

• Demonstrate a desire to grow assets within the Our Client branch system

Required Qualifications:

• 4+ years of Financial Services experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

• 4+ years of financial advisement experience

• Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 66 (63 and 65) examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Desired Qualifications:

• Experienced Financial Advisor, with demonstrated client interactions, with no expectations of transitioning your current book of business

• Experience in collaborating with internal bank partners, such as Premier Bankers

• Demonstrated history of providing investment recommendations to retail clients

Job Expectations:

• Individuals in Loan Originator (LO) positions must meet the Consumer Financial Protection Bureau qualification requirements and comply with related Our Client policies. The LO qualification requirements include meeting applicable financial responsibility, character, general financial fitness and criminal background standards. A current credit report will be used to assess your financial responsibility and credit fitness, however, a credit score is not included as part of the evaluation. Successful candidates must also meet ongoing regulatory requirements including additional screening, if necessary

• Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position

• Compliance with state law registration and licensing requirements is mandatory

• In addition to state registration and licensing requirements, specific product licenses or SAFE licensing may apply

• Additional requirements include meeting enhanced financial fitness and criminal background standards

• Our Client will initiate the FINRA licensing review process at the time of offer acceptance

• For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required

• Compliance with rules and regulations for operating on bank premises