Financial Solutions Advisor - Novato Financial Center

Regulatory Requirements

The position is subject to SAFE Act registration requirements. All employees engaged in residential loan mortgage originations must register with the federal registry system and comply with background checks. Failure to obtain and maintain registration may result in disciplinary action up to termination.

• Work with clients to plan short‑ and long‑term financial goals by building a comprehensive financial plan with brokerage products including stocks, bonds, mutual funds, annuities, and banking solutions.
• Recommend banking and investment strategies aligned 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 Series7 and Series
  66 (or Series
  63/65 in lieu of 66).
• At least one year of experience in the investments industry with in‑depth knowledge of investment products and services.
• At least one year of experience in the financial services industry or a sales environment where goals were met or exceeded.
• Demonstrated ability to set and accomplish goals, build and nurture relationships, collaborate effectively, communicate confidently, navigate complexity, prioritize tasks, and execute in a fast‑paced environment.
• Thorough and thoughtful incorporation of 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’ experience working in the financial service industry or a sales environment where goals were met or exceeded.
• Additional professional designations such as Certified Financial Planner (CFP) or Chartered Retirement Planning Counselor (CRPC).
• Insurance licenses.

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

Monday‑Friday open availability required, with occasional Saturdays. 1st shift (U.S.). 40 hours per week.

Pay range: $70,000.00–$80,000.00 annualized salary, with incentives based on performance through a formulaic incentive plan. Participate in monthly, quarterly, and/or annual incentive opportunities as defined by the specific line of business incentive plan.

This role is benefits eligible. Employees receive industry‑leading benefits, paid time off, and resources to support physical, emotional, and financial well‑being.

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