Financial Solutions Advisor - OC West

Job Description

The following laws or regulations restrict or prohibit the hiring of individuals with certain specified criminal history for the position: FDIC;
Safe Act;
Loan Originators; FINRA.

This position is responsible for providing comprehensive advice and customized solutions to clients to help them achieve their financial goals. The role includes triaging client leads, making referrals to business partners based on client needs and asset thresholds, meeting with clients to review financial and investment goals, building a financial plan, and recommending brokerage products. Job expectations include applying and expanding knowledge by completing required licenses and trainings.

This position is subject to SAFE Act registration requirements. Pursuant to the SAFE Act requirements, all employees engaged in residential loan mortgage originations must register with the federal registry system and remain in good standing. Failure to obtain and/or maintain SAFE Act registration may result in disciplinary action up to and including termination.

• Works with clients to plan short- and long-term financial goals by building a financial plan that includes brokerage products such as stocks, bonds, mutual funds, annuities, and banking and money‑managed solutions.
• Recommends banking and investment strategies that align with client financial goals and needs.
• Triages client requests and makes referrals to internal service providers based on client needs and asset thresholds.
• Mitigates and controls risk as part of daily activities.
• Identifies and engages potential new clients through referrals or financial center clientele.
• Provides coaching and feedback to referral partners based on knowledge of client needs and potential product services recommended.

Monday – Friday and rotating Saturdays.

Apply and expand knowledge by completing required licenses and trainings. Maintain SAFE Act registration and comply with background checks.

• Currently holds Series 7 & 66 (or Series 63 or 65 in lieu of 66) licenses. If missing the 66, must achieve a passing score for the missing series within 60 days.
• At least one year of experience in the investments industry, including investment training and in-depth knowledge of investment products and services.
• At least one year of experience in the financial service industry and/or a sales environment where goals were met or exceeded.
• Sets and accomplishes goals, achieving whatever you put your mind to.
• Builds and nurtures strong relationships.
• Collaborates effectively with others to get things done.
• Communicates effectively and confidently and is comfortable engaging all clients.
• Manages goals, navigates complexity, prioritizes tasks and executes in a fast‑paced environment.
• Likes to learn, adapts to new information and seeks the right solutions for clients.
• Efficiently manages time and capacity.
• Is thorough and thoughtful in incorporating relevant regulatory due diligence into daily activities and long‑term strategies for clients.

• Strong computer skills with an ability to multitask in a demanding environment.
• At least three years of experience in the financial service industry and/or a sales environment where goals were met or exceeded.
• Achieved additional professional designations such as Certified Financial Planner (CFP) and/or Chartered Retirement Planning Counselor (CRPC).
• Obtained insurance licenses.

High School Diploma / GED / Secondary School or equivalent.

• Advisory
• Account Management
• Client Experience Branding
• Customer and Client Focus
• Oral Communications
• Issue Management
• Client Solutions Advisory
• Pipline Management
• Active Listening
• Attention to Detail
• Risk Management
• Policies, Procedures, and Guidelines
• Client Management
• Causation Analysis
• Written Communications

1st shift (United States of America)

40

Annual salary: $70,000 – $80,000, determined by experience, education, and skill set. Eligible for a formulaic incentive plan as defined by the line‑of‑business incentive plan provisions. Benefits include industry‑leading benefits, paid time off, and resources and support to employees.