Associate Financial Advisor

Associate Financial Advisor

Requirements

• Bachelor’s degree in a related field or equivalent related experience. Bachelor’s degree in business.
• Minimum of two years of experience in the financial industry, including customer-facing roles.
• Series 7 and Series 66 (or 63 and 65) licenses.

Responsibilities

• Work collaboratively with Financial Advisor(s) in your assigned area to develop and execute investment strategies for referred members and clients from NFC branches.
• Offer personalized financial planning and investment advice, including IRAs and 529 plans, while ensuring that the recommended solutions align with the unique needs and risk tolerance of each member.
• Engage in targeted business development activities assigned by management, and when needed, refer prospective clients to BECU Investment Services Advisor for comprehensive support.
• Develop and market to the existing book of business, elevating service levels and driving sales to foster enduring client relationships.
• Strive to meet sales production goals established by BECU Investment Services management by identifying member needs and presenting suitable solutions.
• Demonstrate a commitment to delivering exceptional member service, conducting regular reviews, and effectively addressing client challenges within the ambit of BECU Investment Services objectives.
• Liaise with mutual fund companies, insurance companies, clearinghouses, and broker/dealers on behalf of clients and prospects to fulfill their unique needs and service requirements.
• Maintain meticulous records of member/client interactions and trade processes to comply with the regulations of FINRA, Office of Supervisory Jurisdiction (OSJ), and Insurance Agency (Agency) regulators.
• Provide guidance and support to Financial Planner Administrative Assistants or BECU Investment Services employees, sharing valuable resources, and facilitating procedural knowledge.
• Collaborate with Financial Advisor(s) on monthly branch employee training and education, fostering a mentor-mentee relationship to support mutual growth.
• Undertake additional responsibilities as and when assigned, displaying a proactive and versatile approach to support the team’s objectives.

Preferred Qualifications

• Washington Life, Health, and Disability Insurance License.
• Industry certifications/designations, e.g., CFP
• Thorough knowledge of all products and services offered by BECU Investment Services, with a general understanding of BECU products.
• Proficient PC skills, with a working knowledge of investment company software.
• Excellent verbal and written communication skills.
• Strong organizational, telephone, time management, and multitasking skills.
• Ability to travel moderately by car and/or public conveyance for client appointments.