Financial Solutions Advisor - Diablo Market

Responsibilities

• Works 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.
• Recommends banking and investment strategies that align with client financial goals and needs.
• Triages client requests and makes referrals to appropriate internal service providers based on client needs and asset thresholds.
• Mitigates and controls risk as part of daily activities.
• Identifies and engages potential new clients through referrals or financial center clientele.
• Provides coaching and feedback to referral partners based on knowledge of client needs and potential product services recommended.

• Monday – Friday and rotating Saturdays.

Position subject to SAFE Act registration requirements. Requires filing and maintaining registration. Failure to maintain may result in disciplinary action, up to termination.

• Currently holds Series 7 & 66 (or Series 63 or 65 in lieu of 66) licenses. If 66 is not held, a passing score on the missing series within 60 days will be 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.
• Demonstrated ability to set and accomplish goals.
• Builds and nurtures strong relationships.
• Collaborates effectively with others to achieve results.
• Communicates effectively and confidently with all clients.
• Manages goals, navigates complexity, prioritizes tasks and executes in a fast‑paced environment.
• Adapts to new information and seeks solutions for clients.
• Efficiently manages time and capacity.
• Thorough and thoughtful incorporation of regulatory due diligence into daily activities and long‑term strategies.

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

High School Diploma / GED / Secondary School or equivalent.

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

Base pay range: $70,000.00 – $80,000.00 annually (subject to experience and qualifications). Eligible for a formulaic incentive plan and benefits package.

Open for the entire market; specific financial center location will be assigned based on business needs. Training begins at one financial center, with potential phone‑based work pending relocation.