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Associate Financial Representative (AFR) partners with Financial Advisors with meeting and/or exceeding assigned sales and referral goals. The primary objective of the associate role is to participate in and successfully complete the licensing process to move to an Associate Financial Advisor and gain industry experience to prepare for a career as a Financial Advisor.
ESSENTIAL DUTIES & RESPONSIBILITIES:
- Requests study material and prepare for licensing exams
- Observes experienced Financial Advisors to gain knowledge about assisting clients to achieve their financial goals
- Assists Financial Advisors on training retail associates on how to increase referral opportunities
- Partners with Financial Advisors to assist and support licensed bankers by organizing financial center huddles, client appreciation days, etc
- Comply with all FINRA, broker‑dealer, and firm requirements by timely completing all applicable registrations, continuing education (CE), and compliance obligations associated with licensed roles
- Participates in community affairs to increase company and bank’s visibility and to enhance new business opportunities
- Routinely travels with assigned region to meet with clients at different Financial Centers and/or client’s office or other location as requested by the client
- Assist in opening accounts, preparing for account reviews, process account maintenance ensuring accuracy and compliance with regulatory requirements
- Schedule client appointments, meetings with wholesalers, meetings with licensed bankers
- Assist in identifying investment opportunities for existing and new clients Partner with assigned territory team of licensed bankers and Financial Center Managers to support client needs, manage and track referrals, follow up pending business, and drive achievement of financial center revenue goals, Advisor monthly and annual targets, and assigned key performance indicators
SUPERVISORY RESPONSIBILITIES:
None
MINIMUM REQUIRED EDUCATION, EXPERIENCE & KNOWLEDGE:
- Bachelor's degree preferably in Business, Finance, Accounting or related field
- 1 year of related experience; brokerage, insurance, or financial services or banking preferred. An equivalent combination of education, training, and experience may be considered
- Must currently possess or be able to obtain Life and Health Insurance licenses within 90 days of employment and be in good standing
- Must currently possess or be able to obtain Securities Industry Essentials (SIE), Series 7 and 66, within 12 months of employment and be in good standing. A current series 63 and 65 registration can substitute for the series 66
ESSENTIAL MENTAL & PHYSICAL REQUIREMENTS:
- Ability to travel if required to perform the essential job functions.
- Ability to work under stress and meet deadlines.
- Ability to operate related equipment to perform the essential job functions.
- Ability to read and interpret a document if required to perform the essential job functions.
- Ability to lift/move/carry approximately 10 pounds if required to perform the essential job functions. If the employee is unable to lift/move/carry this weight and can be accommodated without causing the department/division an “undue hardship” then the employee must be accommodated; hence omitting lifting/moving/carrying as a physical requirement.
Equal Opportunity/Affirmative Action Employers. All qualified applicants will receive consideration for employment without regard to race, color, religious beliefs, national origin, ancestry, citizenship, sex, gender, sexual orientation, gender identity, marital status, age, physical or mental disability or history of disability, genetic information, status as a protected veteran, disabled veteran, or other protected characteristics as required by federal, state and local laws.
