Financial Advisor

Oct. 27, 2016 - Dec. 31, 2019
Location:Boulder, CO
Salary Range:DOE
Type:Full Time
Department:Elevations Credit Union
Description:Role: To help employees, clients and prospects by assessing their financial goals, needs and objectives while providing them with exceptional personalized service and investment products.

Adhere to all Federal and State laws and regulations governing applicable to the Credit Union, including the Bank Secrecy Act.

ESSENTIAL DUTIES AND RESPONSIBILITIES include the following. Other duties may be assigned.

• Identify and evaluate customer and employee needs for financial services, assess the objectives and goals of the individual, then develop an investment strategy to implement.
• Proactively market and support all aspects of assigned credit union.
• Identify and develop relationships with Wholesalers
• Keep current on investment products and services offered
• Develop and maintain long-term relationships based on trust and respect for clients, employees and members.
• Follow through on the sales goals set forth by the Investment Program
• Provide regular feedback to the branch employees, identified credit union executives and sales manager regarding sales practices and business development initiatives.
• Provide excellent customer service.
• Periodically meets with client to review and update client needs ensuring investment objectives and goals are progressing according to plan. Meetings to take place either monthly, quarterly and/or yearly depending on client needs established by Representative.
• Follow the rules and regulations set forth by the credit union, FINRA, SEC and the broker/dealer
• Address and solve business-related challenges as needed
• Work with Financial Center Managers to identify and leverage cross-sell opportunities.
• Drive investment and credit union integration initiatives, e.g. call nights, branch training, etc.
• Support all product and campaign launches.
• Represent the firm in relationships with major clients, industry organizations, regulatory bodies, and other key outside parties.
• Sets and keeps consistent office hours at designated branch(es)
• Supports Company Mission and Corporate Values

This job has no supervisory responsibilities.

To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

In addition to FINRA Licensing requirements, three to five years licensed registered representative sales experience required. Must have in-depth investment knowledge, exceptional sales skills, ability to independently utilize judgment, and make sound business decisions. Strong presentation skills along with a strong work ethic are also required. Previous experience working in credit union or community bank environment preferred.

Ability to read and interpret documents such as product information, operating instructions, and procedure manuals. Ability to write routine reports and correspondence. Ability to speak effectively and present before groups of customers or employees of organization.

Ability to add, subtract, multiply, and divide in all units of measure, using whole numbers, common fractions, and decimals.

Ability to apply common sense understanding to carry out instructions furnished in written, oral, or diagram form. Ability to deal with problems involving several concrete variables in standardized situations.

FINRA Series 7 and Series 66 or 65 required; FINRA Series 53 preferred. State Life and Health Insurances licenses required. All employees must disclose any criminal history with CFS/SPF. All individuals will be fingerprinted, as mandated by the FINRA Books and Records rule. All fingerprint submissions are processed through the Federal Bureau of Investigations and Department of Justice and results are returned to CFS/SPF via electronic notification. Any criminal history not previously disclosed to CFS/SPF can result in disciplinary action, up to and including immediate termination.

PHYSICAL DEMANDS- May involve frequent driving in order to cover assigned branches as they set appointments, as needed, as well as driving to meet members per convenience when an outbound call results in an appointment. Daily mileage could exceed (INSERT MILES) miles per day.

In addition, the rep stays in the branch and invites members to come to him/her at their convenience and the only driving is the normal commute to which ever branch is scheduled for the day. Current region has (INSERT # OF BRANCHES) branches but could be temporarily changed to one branch if required to minimize activity and risk, and to limit driving.

The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

While performing the duties of this job, the employee is regularly required to sit. The employee frequently is required to talk or hear. The employee is occasionally required to stand; walk; use hands to finger, handle, or feel; reach with hands and arms; climb or balance; and stoop, kneel, crouch, or crawl. The employee must occasionally lift and/or move up to 25 pounds. Specific vision abilities required by this job include close vision, and ability to adjust focus.

The work environment characteristics described here are representative of those an employee encounters while performing the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

The noise level in the work environment is usually quiet.

This Job Description is not a complete statement of all duties and responsibilities comprising this position and may change with or without notice.

Candidates for certain positions may be required to submit to a credit history report in determining qualification for employment with Elevations Credit Union. If the position you are applying for requires a credit history report, any information received in such report will be not be the sole factor in making an employment decision. A history of personal financial irresponsibility may be reason for disqualification insofar as it relates to your potential job duties. Elevations Credit Union is aware that occasionally there are extenuating circumstances that may affect an individual's credit history. We comply with the Fair Credit Reporting Act and the Colorado Employment Opportunity Act.

We are proud to be an EEO/AA employer M/F/D/V.

Elevations provides equal employment opportunity to all individuals regardless of their race, color, creed, religion, gender, age, sexual orientation, national origin, disability, veteran status, or any other characteristic protected by state, federal, or local law. #LI-AK1

•Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities.
•Please view Equal Employment Opportunity Posters provided by OFCCP here.
•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.

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