Financial Advisor Associate

Job Description

Under the direction of the Manager, this position provides sales, administrative and customer service support to an assigned Bankoh Investment Services, Inc, (BISI) Financial Advisor (FA) and is responsible for assisting with the growth of the FA’s clientele base by obtaining new clients and developing additional business with existing clients. This position will assist the FA in providing personalized investment solutions to help clients work toward their long-term financial goals through products/services offered through either or both the Broker-Dealer or Investment Advisory areas of BISI.

Under the direction of the Manager, this position provides sales, administrative and customer service support to an assigned Bankoh Investment Services, Inc, (BISI) Financial Advisor (FA) and is responsible for assisting with the growth of the FA’s clientele base by obtaining new clients and developing additional business with existing clients. This position will assist the FA in providing personalized investment solutions to help clients work toward their long-term financial goals through products/services offered through either or both the Broker-Dealer or Investment Advisory areas of BISI.

• Reviews and opens new accounts, performs account transfers for both non-qualified and qualified (Individual Retirement Account) accounts, receives and processes check requests and performs applicable account maintenance. Reviews all incoming paperwork from FA for completeness before submission for respective Principal review. Researches and resolves customer inquiries/problems, meets walk in customers and prospects, answers telephone and prepares account analysis as requested. Assists Financial Advisor and customers with quotes, news and charts as needed.
• Assists FA by identifying and soliciting new business opportunities. Contacts new referrals to prescreen and schedule appointments. Develops new additional business for FA by reviewing current clientele base and respective account holdings to determine possible opportunities. Contacts clients to set up annual client reviews with FA and further provide appropriate sales and/or servicing assistance. Responsible for meeting with current clients and referred prospects at respective branch in FA’s absence or if FA not available.
• Provides assistance and/or follow-up as required to Compliance for FA’s transactions. Prepares and submit daily trade log for FA. Stays abreast of product and internal operational updates. Ensures FA provided and utilizing correct and current forms and applications.
• Assist FA with review and update of BLUE
  360 referrals. Provides assistance to branch partners with inquiries regarding FA’s BLUE
  360 BISI referral entries. Update FA’s calendar with client’s significant life events (e.g. birthday, anniversary, etc.). Prepare and mail respective greeting cards (e.g. thank you, birthday, etc.) to client. Prepare FA’s expense report.
• Performs all other miscellaneous responsibilities and duties as assigned.

• Bachelor’s degree from accredited institution or equivalent work experience. Possesses Financial Industry Regulatory Authority (FINRA) registration Series 7, Series 63, and Series 65 or 66 licenses and State of Hawaii Department of Insurance Life, Accident and Health license. (Bachelor’s degree is required for Certified Financial Planner (CFP) certification.)
• Two years of experience in a brokerage firm to include customer service and sales experience or equivalent working experience. Understanding of investment securities and the financial markets. Knowledge of life insurance products, strategies, and financial planning preferred. CFP certification preferred.
• Proficiency with personal…