Financial Advisor

Title: Financial Advisor

Reports to: Director of Wealth Management & Financial Resources

Supervises: None

Status: Exempt

Objective

The Financial Advisor is responsible for serving the financial needs of Credit Union Members utilizing a Total-Needs Based selling approach, helping Members identify financial goals and objectives from face-to-face financial analysis and identifying appropriate insurance and securities products to meet Members goals and objectives. Establishing a relationship with continuous periodic reviews is an essential part of the Total-Needs Sales process. The Financial Advisor must present a professional image and cultivate a strong working relationship with Credit Union Staff, Members, and other key people involved in the credit union movement.

Duties and Responsibilities

Presents a professional image from a personal and professional level that will be beneficial to the Credit Union

Maintains and cultivates client/member relationships with existing book of business

Cultivates strong working relationships and build trust among Credit Union Staff and Members along with other key local people in the Credit Union movement, attend/participate in staff meetings and other Credit Union staff functions

Follows the sales process and procedures as established through the KEMBA Wealth Management program

Follows the established insurance and securities compliance guidelines, and strictly adhere to all company policies

Follows established policies and procedures of ethical market conduct. Conduct business according to high standards of honesty, fairness, and integrity and render service to Members, which in the same circumstance we would demand for ourselves

Follows the established guidelines for maintaining client files in accordance with Company practices and FINRA requirements

Attends all required training and informational meetings scheduled by the KEMBA Wealth Management Program Manager

Advises and serves as subject matter expert on the KEMBA Wealth Management program to staff associates within KEMBA

Completes and submits monthly activity reports promptly to the KEMBA Wealth Management Program Manager

Performs all duties in a manner that is fully compliant with applicable industry regulations as well as KEMBA policy and procedures

Develops an understanding of Credit Union history, philosophy, organization, policies, and operational procedures

On a self-direct basis, continues to improve individual level of competency through training and certification on established educational programs

Relates to others beyond giving and receiving instructions:

Communicates with coworkers or peers without exhibiting behavioral extremes

Performs work activities requiring negotiating, instructing, supervising, persuading, or speaking with others

Responds appropriately to criticism from a supervisor

Performs other duties as required by management

Required Qualifications

FINRA Series 7 and 66 and Life, Accident, Health & Insurance licenses

Clean U-4

Two years sales experience in the financial services industry, preferably in a bank or credit union

Experience in Retirement Services doing Rollovers and 401K business

Advanced customer service, communication, and presentation skills

An advanced level of performance, requiring minimum supervision

Experience with high quality service standards in all interactions with customers, prospective customers, personnel, and other departments within the credit union

College Degree preferred

Physical Demands

The physical demands list

KEMBA Financial Credit Union

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