Financial Advisor Securities

Job Description

Job Description

Position Title :

Financial Advisor Securities

Exempt Status :

Exempt (17B)

Reports to :

Investment Services Program Manager or President – Southside Investment Services

Location:

University Center - Fort Worth, Texas

Benefits:

• Medical, Prescription Drugs, Dental, and Vision Insurance
• Insurance Eligibility for Team Members and Dependents Starting on the First Day of Employment
• 401(k) with a Match
• Basic, Voluntary, and Dependent Life Insurance
• Paid Time Off
• Paid Bank Holidays
• Workplace Wellness Programs
• Employee Assistance Programs
• Tuition Reimbursement

Job Summary : Promotes and sells Non-deposit Investment products “NDIP” and services to the public through an integrated marketing program, including branch training, relationship development, individual and group presentations, direct-mail programs, follow-up calling and other client contact methods.

Essential Functions :

• Interviews and counsels customers to obtain financial background and investment goal information needed to develop a customer profile and to assist in determining appropriate investment strategies under the direction of the Financial Advisor.
• Remains thoroughly informed regarding NDIP and Bank changes in services, products and policies.
• Cross-sells other Bank products and services to new and existing customers to generate new business.
• Supports team on operational and client related issues.
• Processes new business and completes new business-related functions.
• Opens customer accounts, maintains customer files and records in accordance with OSJ requirements and prepares all required reports.
• Maintains all information relating to customer accounts and Bank affairs in strict confidence.
• Maintains a current understanding of stated procedures and policies, including regulatory compliance issues.
• Participates in continuing educational courses, as required, through NDIP, the Financial Advisors Manager and mutual fund, broker/dealer and insurance company wholesalers.
• Maintains NDIP Investment Center and display areas and handles public relations within branch locations.
• Reads and understands NDIP Compliance Manual and remains current on all communications from NDIP Compliance Department.
• Maintains confidentiality of all sensitive Bank information.
• Provides leadership to others through example and sharing of knowledge/skill.
• Maintains a positive and caring atmosphere for customers and employees consistent with Southside Bank’s mission, CORE Values, and Blue Book culture guide.
• Provides enthusiastic, professional, and courteous service to Southside Bank customers and employees.
• Participates in proactive team efforts to achieve departmental and company goals.
• Understands and agrees to abide by the policies and procedures established at Southside Bank.
• Responsible for complying with audit policies and procedures as they pertain to this position.
• Performs duties in compliance with applicable laws and regulations, including but not limited to the Bank Secrecy Act (BSA) and related anti-money laundering laws, and in accordance with the Bank’s Information Security Program.
• Must comply with all applicable laws and regulations.

Additional Functions:

• Complies with all safety policies, practices, and procedures. Report all unsafe activities to supervisor and/or Human Resources.
• Performs additional duties as assigned or directed.

Required Education/Experience :

• B.S. Degree in Finance, Accounting and/or Business-related field; and/or 5+ years related experience.
• Strong interpersonal, written and verbal skills.
• Exceptional organizational, analytical and critical thinking capabilities.
• Strong project management skills.
• Series 7 and 66 licenses required.
• Previous sales and service support in a banking environment required.
• Ability to build relationships with customers and Bank personnel.
• Detailed oriented with excellent analytical skills.
• Excellent verbal, non-verbal and interpersonal skills.
• Excellent organizational & time management skills.
• Excellent attitude & an extraordinary client service orientation.
• Ability to handle multiple tasks & operate on tight deadlines.
• Self-motivated and self-reliant with a business appearance and demeanor.
• Ability to perform repetitive functions.

Necessary Skills :

• Ability to read, analyze and interpret general business periodicals, professional journals, technical procedures or governmental regulations.
• Ability to write information and respond to questions from groups of managers, clients, customers, and the general public.
• Ability to calculate figures and amounts such as discounts, interest, commissions, proportions and percentages.
• Ability to apply concepts of basic algebra and geometry.
• Ability to define problems: collect data, establish facts and draw valid conclusions.
• Ability to interpret an extensive variety of technical instructions in mathematical or diagram form and deal with several abstract and concrete variables.
• Proficient personal computer skills including electronic mail, record-keeping, routine database activity, word processing, spreadsheet, graphics, etc.
• Prioritize, organize and handle multiple projects simultaneously.

Physical Activity/Dexterity:

• Manual dexterity sufficient to reach/handle items and work with fingers. Works with fingers and perceives attributes of objects and materials.

Physical Environment Demands:

• Must be able to remain in a stationary position 90% of the time.
• The person in this position needs to occasionally move about inside the office to visit other offices, conference rooms, office machinery, etc.
• Constantly operates a computer and other office productivity machinery, such as a calculator, copy machine, and telephone.
• Constantly positions self to operate on a computer.
• The person in this position frequently communicates with other people throughout each day. Must be able to exchange accurate information when conversing.

Working Conditions/Environment:

• Well-lighted, heated and/or air-conditioned indoor office setting with adequate ventilation.
• Moderate noise (e.g. business office with computers and printers, light traffic).

Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities

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 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. 41 CFR 60-1.35(c)