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FINANCIAL ADVISOR

Company: Northwest Bank
Location: Erie
Posted on: August 13, 2019

Job Description:

PREFERRED EDUCATION, TRAINING AND EXPERIENCE: 4 year business finance / related degree preferred, 5-10 years relevant experience preferred, team player, excellent organizational and time management skills, ability to analyze financial data, knowledge of mutual funds, stocks and bonds

REQUIRED: Incumbents must have Series 7, 63, and 65/66 and Life, Health and Accident Insurance licenses in relevant states.

GENERAL RESPONSIBILITIES:

This position is responsible for:

* The development of new business on the financial services platform

* Retention of existing business

* Initiating contacts for developing and closing new business

* Cultivating and maintaining relationships with numerous sources of new business including company officials, life underwriters, attorneys, accountants and social acquaintances

* Conducting securities buying and selling

* Developing and meeting with prospects to explain Northwest's investment services

* Discussing the advantages of proper planning and obtaining background information on corporate or personal finances, family relationships and employee status

* Maintaining an ongoing relationship with existing customers to retain and develop business

* Developing a high community profile

* Utilizing Northwest office network for referrals and prospects

* Ensuring mailing lists are maintained and participating in marketing initiatives and campaigns

* Conducting educational meetings as required

* Communicating on the development of new business accounts

* Administering certain client accounts as required

* Submitting required reports to Regional Manager in a timely fashion as requested

* Working as part of a team

* Working with onsite equipment

NEW BUSINESS:

* Assisting with setting personal goals and targets

* Meeting and/or exceeding annual production guidelines

* Cultivating potential referrals from existing clients, Retail Offices and Bank Departments and centers of influence in the community

* Completing financial profiles and accurately analyze customer needs and prepare proposals

* Recommending products and services accordingly, taking into account all available alternatives

* Performing presentations, meetings, and seminars with prospects

* Finalizing new agreements and all supporting new account documentation with customers

* Cross selling other Northwest products and services

* Providing product and services training for Retail Office and Bank Department personnel on a periodic basis

* Recommending improvements to sales and procedures

* Recommending new marketing initiatives / potential new business opportunities

ADMINISTRATION:

* Ensuring compliance Northwest policies, procedures, and Code of Conduct

* Ensuring compliance with Advisor Services policies and procedures

* Ensuring Compliance with Federal / State regulations

* Ensuring Compliance with FINRA/SEC regulations and requirements (licensed representatives)

* Providing required reporting on a timely basis

* Monitoring client accounts on an ongoing basis

* Reviewing customer account transactions daily

* Coordinating customer documentation and agreements

* Scheduling client meetings on a periodic basis

* Conducting regular investment/relationship reviews as required to retail client relationship

* Conducting securities buying and selling as directed by client (licensed representatives)

* Completing timely buying and selling (licensed representatives)

* Overseeing / scheduling client distributions / bill payments

* Reviewing financial / investment markets daily

* Ensuring total document and data integrity

* Managing personal workload / workflow

* Developing a high community profile

* Initiating and authoring client correspondence

PRODUCTS:

* Ensuring working knowledge of investment markets, general economic fundamentals and available products and services

* Ensuring working knowledge of Custodian Accounts

* Ensuring working knowledge in Investments, IRA's and Estates

* Ensuring working knowledge of Fiduciary, ERISA and brokerage account types

* Ensuring basic knowledge of Employee Benefits.

* Recommending additions to product and services offerings

OPERATIONS:

* Recommending improvements to procedures

* Maximizing technology tools available

* Assuring accurate information passed to Operations

* Overseeing system coding on individual accounts

* Self-learning / knowledge of Microsoft Office

* Self-learning / knowledge of Internet & Email

PROFITABILITY:

* Minimizing departmental non-payroll costs

* Maximizing technology tools available

* Adhering to stated fee schedules

* Minimizing nonstandard fee schedules

SAFETY/HEALTH:

* Providing leadership and positive direction for maintaining the safety and loss prevention program

* Actively participating in and supporting employee participation in the safety and loss prevention program by ensuring that employees know how to properly report a safety issue, making sure that all accidents are promptly reported to human resources and documented, and ensuring that prompt action is taken whenever workplace hazards are identified

* Helping implement emergency procedures

Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities The contractor will not discharge or in any other manner discriminate against employees or applicants because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant. However, employees who have access to the compensation information of other employees or applicants as a part of their essential job functions cannot disclose the pay of other employees or applicants to individuals who do not otherwise have access to compensation information, unless the disclosure is (a) in response to a formal complaint or charge, (b) in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or (c) consistent with the contractor s legal duty to furnish information.

Keywords: Northwest Bank, Erie , FINANCIAL ADVISOR, Accounting, Auditing , Erie, Pennsylvania

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