Northwest LLC
Financial Advisor
Northwest LLC, Bradford, Pennsylvania, United States, 16701
Financial Advisor is responsible for the development of new business on the financial services platform and maintaining relationships with numerous sources of new business including company officials, life underwriters, attorneys, accountants and social acquaintances. The Financial Advisor- VC will also discuss the advantages of proper planning and obtaining background information on corporate or personal finances, family relationships and employee status.
Essential Functions•Develop new business on the financial services platform•Retain existing business•Initiate contacts for developing and closing new business•Conduct securities buying and selling•Develop and meet with prospects to explain Northwest's investment services•Discuss the advantages of proper planning and obtaining background information on corporate or personal finances, family relationships and employee status•Maintain an ongoing relationship with existing customers to retain and develop business•Develop a high community profile•Utilize Northwest office network for referrals and prospects•Ensure mailing lists are maintained and participating in marketing initiatives and campaigns•Conduct educational meetings as required•Communicate on the development of new business accounts•Administer certain client accounts as required•Assist with setting personal goals and targets•Meet and/or exceed annual production guidelines•Cultivate potential referrals from existing clients, Retail Offices, Northwest's departments and centers of influence in the community•Complete financial profiles and accurately analyze customer needs and prepare proposals•Recommend products and services accordingly, taking into account all available alternatives•Perform presentations, meetings, and seminars with prospects•Finalize new agreements and all supporting new account documentation with customers•Cross-sell other Northwest products and services•Provide product and services training for Retail Office and Northwest Department personnel on a periodic basis•Ensure Compliance with FINRA/SEC regulations and requirements (licensed representatives)•Provide required reporting on a timely basis•Monitor client accounts on an ongoing basis•Review customer account transactions daily•Coordinate customer documentation and agreements•Schedule client meetings on a periodic basis•Conduct regular investment/relationship reviews as required to retail client relationship, and securities buying and selling as directed by client (licensed representatives)•Complete timely buying and selling (licensed representatives)•Oversee/schedule client distributions / bill payments•Review financial / investment markets daily•Ensure total document and data integrity•Develop a high community profile•Initiate and author client correspondence•Assure accurate information passed to Operations•Oversee system coding on individual accounts•Adhere to stated fee schedules•Minimize nonstandard fee schedules•Ensure compliance with Northwest's policies and procedures, and Federal/State regulations•Navigate Microsoft Office Software, computer applications, and software specific to the department in order to maximize technology tools and gain efficiency•Assist with setting personal goals and targets•Recommend improvements to sales and procedures•Recommend new marketing initiatives / potential new business opportunities•Recommend additions to product and services offerings•Complete special projects as they are assigned
QUALIFICATIONSTo perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
Education
Bachelor's Degree Finance / related degree preferred
Work Experience
6 - 8 years relevant experience preferred
General Employee Knowledge, Skills, and Abilitie s
•Ability to establish effective working relationships among team members and participate in solving problems and making decisions•Ability to present and express ideas and information clearly and concisely in a manner appropriate to the audience, whether oral or written•Ability to actively listen to what others are saying to achieve understanding, sharing information with others and facilitating the open exchange of ideas and information•Ability to establish courses of action for self to accomplish specific goals, develop and use tracking systems for monitoring own work progress, and effectively use resources such as time and information•Ability to make right decisions based on perceptive and analytical processes, practicing good judgment in gray areas
Additional Knowledge, Skills and Abilities
Ability to analyze financial dataKnowledge of mutual funds, stocks and bondsKnowledge of investment markets, general economic fundamentals and available products and servicesKnowledge of Custodian AccountsKnowledge in Investments, IRA's and EstatesKnowledge of Fiduciary, ERISA and brokerage account typesKnowledge of Employee Benefits
Required Licenses and Certifications in Relevant States
Series 7Life/Acc/HealthSeries 63Series 65Series 66
#LI-JB1
Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities
The contractor will not discharge or in any other manner discriminate against employees or applicants because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant. However, employees who have access to the compensation information of other employees or applicants as a part of their essential job functions cannot disclose the pay of other employees or applicants to individuals who do not otherwise have access to compensation information, unless the disclosure is (a) in response to a formal complaint or charge, (b) in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or (c) consistent with the contractor's legal duty to furnish information. 41 CFR 60-1.35(c)
Essential Functions•Develop new business on the financial services platform•Retain existing business•Initiate contacts for developing and closing new business•Conduct securities buying and selling•Develop and meet with prospects to explain Northwest's investment services•Discuss the advantages of proper planning and obtaining background information on corporate or personal finances, family relationships and employee status•Maintain an ongoing relationship with existing customers to retain and develop business•Develop a high community profile•Utilize Northwest office network for referrals and prospects•Ensure mailing lists are maintained and participating in marketing initiatives and campaigns•Conduct educational meetings as required•Communicate on the development of new business accounts•Administer certain client accounts as required•Assist with setting personal goals and targets•Meet and/or exceed annual production guidelines•Cultivate potential referrals from existing clients, Retail Offices, Northwest's departments and centers of influence in the community•Complete financial profiles and accurately analyze customer needs and prepare proposals•Recommend products and services accordingly, taking into account all available alternatives•Perform presentations, meetings, and seminars with prospects•Finalize new agreements and all supporting new account documentation with customers•Cross-sell other Northwest products and services•Provide product and services training for Retail Office and Northwest Department personnel on a periodic basis•Ensure Compliance with FINRA/SEC regulations and requirements (licensed representatives)•Provide required reporting on a timely basis•Monitor client accounts on an ongoing basis•Review customer account transactions daily•Coordinate customer documentation and agreements•Schedule client meetings on a periodic basis•Conduct regular investment/relationship reviews as required to retail client relationship, and securities buying and selling as directed by client (licensed representatives)•Complete timely buying and selling (licensed representatives)•Oversee/schedule client distributions / bill payments•Review financial / investment markets daily•Ensure total document and data integrity•Develop a high community profile•Initiate and author client correspondence•Assure accurate information passed to Operations•Oversee system coding on individual accounts•Adhere to stated fee schedules•Minimize nonstandard fee schedules•Ensure compliance with Northwest's policies and procedures, and Federal/State regulations•Navigate Microsoft Office Software, computer applications, and software specific to the department in order to maximize technology tools and gain efficiency•Assist with setting personal goals and targets•Recommend improvements to sales and procedures•Recommend new marketing initiatives / potential new business opportunities•Recommend additions to product and services offerings•Complete special projects as they are assigned
QUALIFICATIONSTo perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
Education
Bachelor's Degree Finance / related degree preferred
Work Experience
6 - 8 years relevant experience preferred
General Employee Knowledge, Skills, and Abilitie s
•Ability to establish effective working relationships among team members and participate in solving problems and making decisions•Ability to present and express ideas and information clearly and concisely in a manner appropriate to the audience, whether oral or written•Ability to actively listen to what others are saying to achieve understanding, sharing information with others and facilitating the open exchange of ideas and information•Ability to establish courses of action for self to accomplish specific goals, develop and use tracking systems for monitoring own work progress, and effectively use resources such as time and information•Ability to make right decisions based on perceptive and analytical processes, practicing good judgment in gray areas
Additional Knowledge, Skills and Abilities
Ability to analyze financial dataKnowledge of mutual funds, stocks and bondsKnowledge of investment markets, general economic fundamentals and available products and servicesKnowledge of Custodian AccountsKnowledge in Investments, IRA's and EstatesKnowledge of Fiduciary, ERISA and brokerage account typesKnowledge of Employee Benefits
Required Licenses and Certifications in Relevant States
Series 7Life/Acc/HealthSeries 63Series 65Series 66
#LI-JB1
Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities
The contractor will not discharge or in any other manner discriminate against employees or applicants because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant. However, employees who have access to the compensation information of other employees or applicants as a part of their essential job functions cannot disclose the pay of other employees or applicants to individuals who do not otherwise have access to compensation information, unless the disclosure is (a) in response to a formal complaint or charge, (b) in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or (c) consistent with the contractor's legal duty to furnish information. 41 CFR 60-1.35(c)