Financial Advisor – Orange County Market

• Work with high-net-worth clients and prospects with annual revenues of $100,000–$5 million
• Identify client needs, develop relationships, review investment and financial goals, and prepare and deliver comprehensive recommendations
• Develop a book of business to meet and exceed performance hurdles
• Source prospective clients, capitalize on referrals, assess customer needs, and refer customers to appropriate internal specialists
• Recommend suitable investment products and services based on objectives, resources, time horizon, risk profile, and preferences
• Balance investment growth, referral activities, customer follow-up, prospect building, administrative compliance, and personal development
• Organize and manage time, people, and budget to run a productive practice
• Seek specialist expertise to identify planning and investment strategies
• Complete mandated training, assessments, performance goals, and continuing education requirements
• Handle inbound inquiries regarding Merrill offerings
• Position Merrill and Bank of America capabilities
• Collect client profile data and follow standard KYC procedures to open accounts
• Serve as interim Financial Advisor and service client accounts
• Document client interactions and opportunities accurately in Salesforce
• Collaborate with and receive mentoring from Merrill Financial Advisor Teams, core banking partners, investment partners, and local leadership

• Currently holds Series 7 and 66 licenses, or equivalent Series 63 and 65 in lieu of Series 66
• Minimum of one year of experience in the investments industry, including investment training and in-depth knowledge of investment products and services
• Minimum of one year of experience working in the financial service industry and/or a sales environment where goals were met or exceeded
• Proven ability to engage with and influence others
• Exceptional interpersonal and relationship-building skills with ability to quickly build trust and credibility
• Effective written and verbal communication skills
• Ability to listen and probe for clarity and understanding, assess needs, and recommend appropriate solutions
• Ability to work collaboratively on a team and with key partners
• Goal- and results-oriented with strong follow-through skills
• Entrepreneurial mindset with ability to source clients through extensive prospecting and networking
• Ability to work where the majority of compensation is tied to performance
• Computer/technical literacy and proficiency in Microsoft Word, PowerPoint, and Excel
• High school diploma, GED, secondary school or equivalent
• SAFE Act registration and required background check
• Must satisfy applicable FDIC, SAFE Act, loan originator, and FINRA hiring restrictions
• Bachelor’s degree and/or one year of financial services industry or sales experience preferred as a desired qualification
• Ability to learn and adapt to new technologies, systems, and digital tools
• Ability to manage multiple priorities in a dynamic, deadline-driven environment

Demonstrates expertise in client relationship management, investment product knowledge, and financial advisory services, with a strong focus on meeting performance goals and compliance standards. Proficient in utilizing Salesforce for client documentation and managing a productive practice through effective time and resource management.

• Series 7 License
• Series 66 License
• Investment Product Knowledge
• Client Relationship Management
• Salesforce Proficiency

• Investment Training
• Financial Services Experience
• KYC Procedures
• Client Profiling
• Investment Recommendations

• Interpersonal Skills
• Relationship-Building
• Effective Communication
• Goal-Oriented
• Entrepreneurial Mindset

• Series 7 License
• Series 66 License
• SAFE Act Registration

• High-Net-Worth Clients
• Investment Growth
• Performance Goals
• Financial Advisory
• Sales Environment

• Microsoft Word
• Microsoft Power Point
• Microsoft Excel