Associate Financial Advisor

Job Description

The Associate Financial Advisor is responsible for the development of new business and retention of existing relationships while creating and maintaining relationships with centers of influence and business partners. This position supports a Financial Advisor team and assists with new business, managing client relationships, reviewing portfolio performance with clients and completing client service requests. This individual also conducts securities transactions, holds educational branch meetings as required, communicates effectively within team and management and submit required reports in a timely fashion as requested. An Associate Financial Advisor should be in good standing in their community.  

Essential Functions
•    Assist with setting personal goals and targets and meet and/or exceed annual production guidelines
•    Maximize technology tools available and provide required reporting on a timely basis
•    Cultivate potential referrals from existing clients, Retail offices, Northwest's departments and centers of influence in the community
•    Complete financial profiles and accurately analyze customer needs and recommend products and services accordingly, taking into account all suitable alternatives
•    Perform presentations, meetings, account reviews and seminars with prospects and/or clients; coordinate customer documentation and agreements; correspond as necessary
•    Monitor client accounts and transactions on an ongoing basis
•    Cross sell other Northwest products and services and provide branch training on a periodic basis
•    Recommend new marketing initiatives / potential new business opportunities / improvements to internal procedures
•    Ensure compliance with Northwest Investment Services and broker dealer policies and procedures; obtain continuing education, as required
•    Ensure compliance with FINRA/SEC regulations and requirements (licensed representatives)
•    Conduct securities buying and selling as directed by client (licensed representatives)
•    Review financial/investment markets daily
•    Establish a presence with your community
•    Minimize departmental non-payroll costs
•    Sit in Northwest Bank branch offices assigned by Regional Sales Manager
 
Additional Essential Functions
•    Ensure compliance with Northwest’s policies and procedures, and Federal/State regulations
•    Navigate Microsoft Office Software, computer applications, and software specific to the department in order to maximize technology tools and gain efficiency

Preferred Education
Bachelor's Degree    Finance / related degree preferred       
 
Preferred Work Experience
2 - 3 years    relevant experience         
 
General Employee Knowledge, Skills, and Abilities   
•    Ability to establish effective working relationships among team members and participate in solving problems and making decisions  
•    Ability to present and express ideas and information clearly and concisely in a manner appropriate to the audience, whether oral or written    
•    Ability to actively listen to what others are saying to achieve understanding, sharing information with others and facilitating the open exchange of ideas and information  
•    Ability to establish courses of action for self to accomplish specific goals, develop and use tracking systems for monitoring own work progress, and effectively use resources such as time and information    
•    Ability to make right decisions based on perceptive and analytical processes, practicing good judgment in gray areas  
 
Additional Knowledge, Skills and Abilities
Ability to analyze financial data    
Knowledge of mutual funds, stocks and bonds  
Knowledge of investment markets, general economic fundamentals and available products and services    
Knowledge of Custodian Accounts    
Knowledge in Investments, IRA’s and Estates    
Knowledge of Fiduciary, ERISA and brokerage account types  
Knowledge of Employee Benefits    
 
Licenses and Certifications
Series 7, Life/Acc/Health, Series 63 and 65 or 66    

Northwest is an equal opportunity employer. We are committed to creating an inclusive environment for all employees.