Cetera Financial Group · 1 week ago
Investment Representative
Oakdale, CA
Full-time
Onsite
Mid Level
$45K/yr - $70K/yrCetera Financial Group is a broker-dealer that supports and grows wealth management programs on bank or credit union premises. The Investment Representative is responsible for managing sales and distribution of personal investment products, providing financial planning and investment portfolio management to support and maintain client relationships.
AdviceFinancial ServicesRetailRetirementWealth Management
Hiring Manager
Jennifer Tedder, MBA
Responsibilities
Attracts, grows, and retains a portfolio of financially successful clients for the Bank by managing an assigned portfolio of customers
Reinforces the application of superior customer service through his or her own example along with appropriate follow through with involved customers and employees and conducts specific periodic meetings and presentations on this topic with all staff members
Provide client advice on a wide range of personal and business-related financial risk and wealth management topics
Present principles of financial portfolio construction and management, asset allocation, wealth planning and wealth distribution to clients and prospects
Provide current and prospective clients financial advice, planning support and access to financial products and services available through our broker dealer relationship
Meet with clients on a regular basis to review portfolio performance and uncover unmet personal and business financial needs
Provide regular reporting and updates and information to clients and management
Maximizes customer engagement by assessing, understanding, and identifying customer banking needs and providing or arranging a wide array of wealth advice
Acts as the main point of contact and provides comprehensive and knowledgeable advice as a trusted consultative financial advisor; places the customer’s best interest first; and expands customer relationship through introductions with various banking areas and personnel
Confers with customers, heirs, attorneys, tax professionals, and other interested parties as necessary over the life of the account to explain the Bank’s role, and resolves issues or problems, establishes the needs and interests of each, and provides assistance
Performs a detailed analysis of unique needs and requirements of clients and prospects
Participates in community affairs, business and service organizations, including public speaking; actively involved in instilling and maintaining a positive sales environment through education of the Bank’s products and services; assists in the organization of the department, coordinating available resources (e.g., staff, materials, etc.) for maximum results; and reviewing marketing strategies in relation to department and Bank goals and recommending suitable marketing approaches
Partners with internal and external entities to source and solidify relationship opportunities and attain customer financial goals
Coordinate maintenance of compliance files, including advertising, complaint, client files and correspondence
Learn and/or maintain knowledge of investment planning and other bank products and services
Coordinates assist and interact with auditors/regulators and reports to audit committee as needed
Exercises control over assigned department functions and establishes the goals and objectives of these areas
Responds to inquiries or refers inquiries to the appropriate department or person and exhibits the necessary follow through with customers and/or staff involved
Processes, solves, and answers complex customer transactions, problems, or inquiries
Answers telephones, answers question and directs callers to proper Bank personnel
Treats people with respect; keeps commitments; inspires the trust of others; works ethically and with integrity; upholds organizational values; and accepts responsibility for own actions
Demonstrates knowledge of and adherence to Equal Employment Opportunity (EEO) policy; shows respect and sensitivity for cultural differences; educates others on the value of diversity; promotes working environment free of harassment of any type; and builds a diverse workforce and supports affirmative action
Assures compliance with all Bank policies, procedures and processes, and all applicable state and federal banking laws, rules, and regulations, and adheres to Bank Secrecy Act (BSA) responsibilities that are specific to the position
Completes administrative tasks correctly and on time; supports the Bank’s goals and values; and benefits the Bank through outside activities
Performs the position safely, without endangering the health or safety to themselves or others and will be expected to report potentially unsafe conditions. The employee shall comply with occupational safety and health standards and all rules, regulations and orders issued pursuant to the OSHA Act of 1970, which are applicable to one’s own actions and conduct
Qualification
Required
High School diploma and bachelor's degree (BA) from an accredited college or university, or of related experience and/or training; or the equivalent combination of education and experience
Required license(s) or certifications FINRA Series 7, 63, and 65 (or Series 66 in place of Series 63 and 65), California Life and Health Insurance License
Proven skills to develop marketing and business development skills with customers
Demonstrated ability to cross-sell and explain all Bank products and services with confidence and authority
Advanced knowledge of financial products and services, including, but not limited to consumer and commercial banking products and services, trust, brokerage and investments, insurance, etc
Ability to read, analyze and interpret general business periodicals, professional journals, and technical procedures
Basic knowledge of human resource and labor laws and policies
Company
Cetera Financial Group
Cetera Financial Group is a privately-held, independent broker-dealer and investment adviser families.
Founded in 2010
1001-5000 employees
Funding
Current Stage
Late StageTotal Funding
unknownKey Investors
Genstar Capital
2023-10-04Private Equity
2018-07-17Acquired
Leadership Team
Michael Durbin
Chief Executive Officer
Dan Burkott
Chief Compliance Officer - Tax Channel
Recent News
2026-01-07
2026-01-07
2025-12-27
Company data provided by crunchbase