Licensed Series 7 and 66 Financial Planner

Licensed Series 7 and 66 Financial Planner

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Licensed Series 7 and 66 Financial Planner

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Employee Job Description

JOB TITLE : Licensed Series 7 and 66 Financial Planner

Description

ALLEGACY FEDERAL CREDIT UNION

Employee Job Description

JOB TITLE : Licensed Series 7 and 66 Financial Planner

REPORTS TO : Program Manager

GENERAL ACCOUNTABILITY

The primary purpose of this position is to assist Allegacy Federal Credit Union in living out its mission, "to help you make smart financial choices" and support the expected behaviors of the Synergy culture. To achieve this goal the employee must provide outstanding service to both internal and external members. In addition, this position will assist clients in the identification, analysis and appropriate investment and insurance activity directed toward accomplishing their financial goals. Offer regularly scheduled reviews to monitor client progress toward goals. Review risk tolerance, asset allocation models and current pertinent economic information to enable clients to make prudent investment and insurance decisions. Assist in additional duties as needed.

NATURE AND SCOPE

Responsible for working directly with assigned Allegacy Federal Credit Union branch staff to build referrals and educate the staff on Allegacy Investment Group services. Also work closely with Allegacy Wealth Management Group in developing joint relationships between Allegacy Investment Group and Allegacy Wealth Management.

External relationships include Cuso Financial Services, L.P., investment and insurance product vendors and other professionals as the need may arise to coordinate efforts for the benefit of clients (i.e. attorneys, accountants, financial institutions, etc.)

Specific Accountabilities

• Deliver outstanding service to both internal and external service that meets or exceeds our Service Promises.
• We promise to treat you with the respect deserving of a team member.
• We promise to find ways to offer simplicity and convenience.
• We promise to recognize your needs and recommend innovative solutions.
• We promise to ensure the security of financial information.
• We promise to take ownership of your request.
• We promise to express our appreciation for the opportunity to serve you.
• Completion of all required compliance training to include BSA.
• Meet or exceed established service goals.
• Identify and evaluate customer and employee needs for financial services, assess the objectives and goals of the individual, then develop a financial plan or investment strategy to implement. Handle questions and objections professionally.
• Gather confidential client information, construct and analyze appropriate financial plan maintaining the highest level of confidentiality.
• Present financial plans to clients, review options available as well as suggested implementation schedule. Introduce clients to services, investments and insurance products offered through Allegacy Investment Group as well as traditional products and services available through Allegacy Federal Credit Union.
• Work with Financial Center Managers, and other credit union business lines to identify and leverage cross-sell opportunities.
• Properly implement financial plans by selling appropriate investment and insurance products to clients and by personally referring clients to appropriate Allegacy FCU staff for traditional credit union products.
• Periodically meet with clients to review and update client needs ensuring investment objectives and goals are progressing according to plan, review risk tolerance, and conduct a current economic environmental scan.
• Support all product and campaign launches.
• Conduct workshops throughout the year as outlined in business plan.
• Perform various additional duties as may be assigned by the Program Manager.
• Develop and maintain long-term relationships based on trust and respect with clients, employees, and members.
• Maintain excellent customer service with clients by handling routine problems and questions on investment and insurance products.
• Prospect for potential clients through approved methods, including, but not limited to, direct mail pieces, seminars and classes, printed advertisements and employee and customer referral programs, etc.
• Keep all securities, insurance and licensing current through successful completion of Continuing Education requirements. Keep current on products and services offered by the investment group as well as the credit union.
• Maintain and organize current client files according to compliance guidelines.
• Successfully pass semi-annual audits performed by OSJ and follow the rules and regulations set forth by the credit union, FINRA, SEC and the broker / dealer.
• Accountable for meeting annual business plan and production goals.
• Provide regular feedback to the investment group management regarding sales practices and business development initiatives.
• Represent the firm in relationships with major clients, industry organizations, regulatory bodies, and other key outside parties.
• Support Company Mission and Corporate Values

Requirements

KNOWLEDGE, SKILLS AND ABILITIES

EDUCATION – Must have the following abilities : to read, to perform arithmetic operations quickly and accurately; to see details and recognize errors in numbers and spelling; to present information effectively; to work within precise limits of accuracy; to follow instructions; to accept responsibility; to be tactful and patient with others. Minimum completion of a 4- year degree in Finance, Business or related field, required.

EXPERIENCE – Minimum 5 years of revenue- generating financial sales experience. Related customer service experience preferred.

SKILLS – Ability to communicate successfully and in a professional manner with clients, above average math aptitude, excellent oral and written communication skills, excellent decision making and problem solving skills, superior amount of computer literacy and proofreading capabilities.

SPECIALIZED KNOWLEDGE – Excellent working knowledge of Allegacy FCU products and services as well as, life insurance, annuity and securities products. Proficient in operational procedures related to customer accounts. Strong practical understanding of general economic principles relating to all aspects of personal finance.

PROFESSIONAL LICENSES –

Series 7, 66, or (63 and 65) securities licenses required.

North Carolina Life, Accident and Health Insurance License required.

CFP, ChFC, JD, CPA or similar designation currently held of actively pursuing strongly preferred

OTHER QUALIFICATIONS – Patience, empathy and tact, confidentiality, initiative, ability to work in stressful situations, friendly, outgoing and professional personality, ability to be flexible.

Seniority level

Seniority level

Mid-Senior level

Employment type

Employment type

Full-time

Job function

Job function

Finance and Sales

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