JBA International ยท 5 months ago
Associate Financial Advisor
Sebastopol, California, US
Full-time
Onsite
New Grad, Entry Level
$69K/yr - $69K/yrJBA International is a financial services company seeking an Associate Financial Advisor to provide exceptional customer service and assist clients with their investment needs. The role involves handling customer inquiries, executing trades, and maintaining compliance with financial regulations while participating in training programs for professional development.
ConsultingHealth CareLegalProfessional Services
No H1B
U.S. Citizen Only
Responsibilities
Provide exceptional customer service to all Member-clients
Follow up with Members referred to Wealth Management Department by Branch and Member Service Center to schedule investment-needs meeting
Provide regularly scheduled investment portfolio reviews
Handle routine customer inquiries; effectively work with back-office support personnel at vendors and broker-dealer to ensure high degree of quality service and customer satisfaction
Travel to Corporate offices and other Branch locations as assigned
Open accounts and execute trades for advisory, mutual funds, stocks, bonds, etc. as directed by client in compliance with CUSO Financial Services Office of Supervisory Jurisdiction (OSJ)
Research and provide literature on requested investment products including financial plans, advisory accounts, stocks, bonds, and mutual funds
Research and provide literature and information to clients regarding insurance products such as annuities
Establish and maintain interactive and open communication with CUSO Financial Services and product companies
Provide Branch and/or Member Service Center team members with regular referral and product training
Attend regular product and sales training meetings
Complete transactions within all FINRA, SEC, and Credit Union procedures and regulations
Research and repair all 'Back to Rep' and NIGO 'not in good order' items
Complete daily, weekly, and monthly sales blotters and tracking reports
Prepare and maintain complete and accurate digital client files, documentation, and Member data as directed by CUSO Financial Services and RCU
Maintain a weekly 'pipeline' report of Members assisted and pending business items
Input financial planning data into financial planning software for the appropriate Members on an as-needed basis
Coordinate marketing and advertising efforts to promote Redwood Credit Union and Wealth Management Department
The Associate Financial Advisor is responsible to complete all applicable sales, compliance and product training and be in good standing prior to any advancement or promotion to Financial Advisor. This program is as assigned by the VP-Wealth Management
The Associate Financial Advisor will complete additional licensing and educational programs as assigned by management
Qualification
Required
Provide exceptional customer service to all Member-clients
Follow up with Members referred to Wealth Management Department by Branch and Member Service Center to schedule investment-needs meeting
Provide regularly scheduled investment portfolio reviews
Handle routine customer inquiries; effectively work with back-office support personnel at vendors and broker-dealer to ensure high degree of quality service and customer satisfaction
Travel to Corporate offices and other Branch locations as assigned
Open accounts and execute trades for advisory, mutual funds, stocks, bonds, etc. as directed by client in compliance with CUSO Financial Services Office of Supervisory Jurisdiction (OSJ)
Research and provide literature on requested investment products including financial plans, advisory accounts, stocks, bonds, and mutual funds
Research and provide literature and information to clients regarding insurance products such as annuities
Establish and maintain interactive and open communication with CUSO Financial Services and product companies
Provide Branch and/or Member Service Center team members with regular referral and product training
Attend regular product and sales training meetings
Complete transactions within all FINRA, SEC, and Credit Union procedures and regulations
Research and repair all 'Back to Rep' and NIGO 'not in good order' items
Complete daily, weekly, and monthly sales blotters and tracking reports
Prepare and maintain complete and accurate digital client files, documentation, and Member data as directed by CUSO Financial Services and RCU
Maintain a weekly 'pipeline' report of Members assisted and pending business items
Input financial planning data into financial planning software for the appropriate Members on an as-needed basis
Coordinate marketing and advertising efforts to promote Redwood Credit Union and Wealth Management Department
The Associate Financial Advisor is responsible to complete all applicable sales, compliance and product training and be in good standing prior to any advancement or promotion to Financial Advisor
The Associate Financial Advisor will complete additional licensing and educational programs as assigned by management
Company
JBA International
JBA International provides financial, life science, healthcare, legal, and office administration services.
Founded in 1988
201-500 employees
Funding
Current Stage
Growth StageLeadership Team
Jacqueline Buickians
Chief Executive Officer
Company data provided by crunchbase