New Business Development: Acquire new customers and continuously build on existing customers:
Market services to new and existing clients by engaging in the community, giving seminars, attending business events and conferences and sponsoring community and charitable events.
Communicate with other professionals, such as estate agents, lawyers, and valuers to develop reciprocal referral opportunities.
Respond to prospective customer queries about financial planning and investments.
The financial needs of clients are assessed, and a sound financial plan is designed to help them reach their financial objectives:
Prepare financial strategy recommendations and make appropriate investment recommendations to current and potential customers based on individualized needs analysis and in-depth review of current financial circumstances and goals.
Monitor and analyze clients’ accounts, review investment reports, and determine if changes are needed to improve financial performance or to accommodate life changes.
Manage and update client portfolios by completing a risk analysis for each client and taking measures to adjust portfolios, as necessary.
Communicate with clients to update on potential investment opportunities, introduce new financial products, and recommend adjustments to the financial plan.
Prepare and/or interpret financial document summaries, investment performance reports and income projections for clients.
Monitor market trends and research available investment opportunities to determine suitability or best interest for clients’ financial plans.
Meet the fiduciary duty and regulatory aspects of the role.
Keep detailed records of the services provided.
Maintain thorough knowledge of federal and state laws regarding investments, financial advice, and fees for financial services.
Bachelor's degree preferably in Business, Finance, Accounting, or related field.
5+ years of sales experience. 3+ years of related experience in investment sales, Brokerage/Insurance and/or Banking/Retail.
Must currently possess Life, Health and Accident Insurance Licenses – fixed annuity and variable annuity and be in good standing.
Must currently possess FINRA Investment License(s) – Series 7 and Series 66, or Series 7 with Series 63 and 65 and be in good standing.