Financial Advisor

Overview

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Central Investment Advisors (CIA) is responsible for providing non-deposit investment products to the holding company customer base throughout the company footprint. CIA employs approximately 38 financial advisors and approximately 15 Sales Assistants. This group provides brokerage and advisory services to nearly 20,000 clients with assets under management totaling $4 billion. Products and services available to clients include, but are not limited to individual stocks, ETFs, mutual funds, bonds, fixed and variable annuities, insurance and advisory accounts.

• Provide investment advice, portfolio analysis and trade execution for CIA clients.
• Recommend investment plans and instruments based on client objectives, time horizon and risk tolerances.
• Meet with clients periodically to reevaluate their situations and adjust portfolios as needed; conduct reviews no less than annually for advisory accounts.
• Maintain client interests as the top priority and, when appropriate, cross-sell bank products.
• Actively participate in the company’s referral program and promptly qualify referrals after appointments.
• Develop and maintain relationships outside the bank through community involvement and networking with local attorneys and CPAs for referrals.
• Maintain expertise in financial markets and economic conditions using available research tools (e.g., Wealth Vision, Morningstar Workstation, Argus, Albridge, etc.).
• Follow Central Investment Advisor Policy and broker-dealer compliance, complete required continuing education (AML, compliance questionnaires, annual compliance meeting, FINRA CE every two years).
• Maintain books and records for clients and manage branch office documentation per FINRA requirements using Clientworks and related systems.
• Document all client contact and communications in Redtail, assign and track tasks, and prepare monthly management reports.
• Attend annual planning meetings and periodic program meetings; collaborate with program management on business plans.

• Bachelor’s Degree in a Business discipline.
• 3 - 5 years brokerage experience preferred.
• Series 7, Series 63 & 65 or 66 licenses required.
• Life and Health insurance licenses.
• Certified Financial Planner designation highly recommended.
• Strong desire to succeed in a highly competitive industry; exceptional listening and customer-service skills; ability to communicate effectively with individuals or groups; strong PC skills; self-starter and initiative.
• Effective oral and written communication skills.

• Seniority level:
  Entry level
• Employment type:
  
  Full-time
• Job function:
  Finance and Sales