Financial Solutions Advisor - CA Coastal Region

Legal and Regulatory Requirements

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 subject to SAFE Act registration requirements. Employees engaged in residential loan mortgage originations must register with the federal registry system and remain in good standing. All employees are required to register and submit to the required SAFE Act background check and registration process. Failure to obtain and/or maintain SAFE Act registration may result in disciplinary action up to and including termination.

This role focuses on providing comprehensive financial advice and customized solutions to clients to help them achieve their financial goals. Key responsibilities include 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.

• Work with clients to plan their short and long‑term financial goals by building a financial plan with brokerage products, including stocks, bonds, mutual funds, annuities, and banking and money‑managed solutions
• Recommend banking and investment strategies that align with client financial goals and needs
• Triage client requests and make referrals to appropriate internal service providers based on client needs and asset thresholds
• Mitigate and control risk as part of daily activities
• Identify and engage potential new clients through referrals or financial center clientele
• Provide coaching and feedback to referral partners based on knowledge of client needs and potential product services recommended

• Currently holds Series 7 & 66 (or 63 & 65 in lieu of 66) licenses. If a 66 is not held, a passing score for the missing series within 60 days is required.
• 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 working in the financial services industry and/or a sales environment where goals were met or exceeded.
• Ability to set and accomplish goals, achieving whatever you put your mind to.
• Ability to build and nurture strong relationships.
• Effective collaboration with others to get things done.
• Effective and confident communication, comfortable engaging all clients.
• Ability to manage goals, navigate complexity, prioritize tasks, and execute in a fast‑paced environment.
• Enjoys learning, adapts to new information, and seeks the right solutions for clients.
• Efficiently manages time and capacity.
• Thorough and thoughtful in incorporating relevant regulatory due diligence into daily activities and long‑term strategies for clients.

• Strong computer skills with the ability to multitask in a demanding environment.
• At least three years of experience in the financial services industry and/or a sales environment where goals were met or exceeded.
• Achieved additional professional designations such as CFP or CRPC.
• Obtained insurance licenses.

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

Monday‑Friday open availability required + some Saturdays.

High School Diploma / GED / Secondary School or equivalent.

1st shift (United States of America).

40

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