Shell Wealth Services Advisor

Job Details

Job Location:

Fairmont
- Pasadena, TX 77505

Position Type:
Full Time

Job Shift: Must Be Flexible & Saturdays

Job Category:
Banking

Shift

Hours:

Monday
- Friday : 9:00 AM - 5:00 PM

• Consistently meet all Game Changer Commitments and Shell FCU Service Distinctions.
• Accountable to maintain knowledge of and comply with all applicable rules and regulations required within the scope of duties, including, but not limited to, the Bank Secrecy Act.
• Required to attend annual training sessions as instructed or scheduled.
• Perform job duties and responsibilities in compliance to Shell FCU procedures, philosophy and standards of performance.
• Maintain all appropriate FINRA/other licenses and requirements up to date and complete all required compliance training as assigned.
• Follow high standards of business and professional ethics and legal and regulatory requirements when serving clients and prospects and performing all work-related activities.
• Schedule and hold meetings with both potential and existing clients in order capture the client's goals and develop strategies to achieve required goals.
• Document in written plan to track progress against goals, quarterly and work to implement agreed upon strategies including but not limited to the following areas: protection, taxes, investments, cash and liabilities, in order to accomplish the client's financial goals.
• Leverage regular meetings to track the client's progress vs. goal and when appropriate reallocate resources or investments in order to keep the client on track.
• Build deep, meaningful relationships with clients and develop a service model to provide solutions that support their financial goals.
• Achieve or exceed program standards; receive additional compensation opportunities and recognition tied to your results.
• Engage in on-going professional development to increase industry, product, sales and servicing skills and abilities.
• Generate leads through various methods, including prospecting within the financial institution, branch trainings, natural market, referrals, local seminars, advertising, networking groups and web-based marketing venues.
• Develop and execute a marketing plan to attract and engage target audiences that will attract client prospects to build your practice.
• Contact clients to confirm existing account-level information, such as liquidity needs, risk tolerance, investment timeframe, for suitability purposes.
• Offer fact-based price quotes for stocks on relevant exchange, last mutual fund NAV and other market-based products.
• Create client summary letters or emails. May include summarizing investment balances and returns in advance of client meetings, summarizing outcomes and next steps after client meetings.
• Input or call-in requests to transfer securities between accounts with like registration, regardless of the accounts’ tax status, as directed by the client.
• Enter client requests to transfer cash, including issuing checks, from a brokerage account (or other account with a sufficient cash balance) to an authorized external bank account.
• Confirm ACH account information, distribution instructions, tax withholding and any surrender charges for withdrawal requests. Prepare documentation as needed.
• Contact client to initiate Required Minimum Distribution (RMD) instructions when cash is available in a qualified account and no sale of securities is necessary to complete the RMD.
• Maintain prospects and client data including notes, follow-up appointments and periodic review dates.
• Performs additional duties as assigned.

• 3+ years of work-related experience with a proven track record of success.
• Required Licenses:
  • FINRA Series 7
  • State Securities (Series 63 or Series 66)
  • State IAR (Series 65 or Series 66)
  • St…