- Identify and evaluate member needs for financial services, assess the objectives and goals of the individual, then develop an investment strategy to implement.
- Analyze client financial information (including assets, income, debts and other liabilities, cash flow, and tax status), investment objectives and goals and determine which financial products best meet individual members' needs and financial circumstances. This includes comparing and evaluating possible investment options for individual clients, identifying investment strategies and potential investments based on market conditions and clients' particular circumstances, and assessing the timing of investments by analyzing market conditions to determine the optimum times to conduct securities transactions for clients.
- Collect (either in person or by telephone) client financial information (including assets, income, debts and other liabilities, cash flow, and tax status), investment objectives and goals.
- Advise customers regarding the advantages and disadvantages of different financial products.
- Service and perform periodic reviews of existing client accounts and meet with clients periodically to review and update client needs ensuring investment objectives and goals are progressing according to plan.
- Analyze market conditions and maintain current knowledge about financial and investment vehicles in the market and the tax and securities consequences to clients of particular investments. Attend training and complete required continuing education and keep current on investment products and services offered. Meet regularly with Program Manager and train, if necessary, with Program Manager.
- Drive investment and program integration initiatives with credit union (includes branch personnel training). Provide regular feedback regarding sales practices and business development initiatives to the branch employees, identified credit union executives, and sales manager. Work with Branch Managers to identify and leverage cross-sell opportunities.
- Support all product and campaign launches. Market, service, and promote UFCU Investment Services and products, including prospecting new clients through marketing, outreach, and scheduling appointments.
- Remain visible to the appropriate segments of the public in order to meet and to retain potential new clients for UFCU Investment Services, including conducting client education events on various topics (i.e., Social Security, Education planning, Retirement planning, etc.)
- Bring about the purchase or sale of financial products including executing the actual transactions that result from their financial advice. Meet sales goals set forth by the Investment Program and activity and production goals as outlined in Success Factors.
- Develop/update business plan with Program Manager.
- Identify and develop relationships with Wholesalers.
- Follow the rules and regulations set forth by the credit union, FINRA, SEC and the broker/dealer.
- Represent the firm and assigned financial institution in relationships with major clients, industry organizations, regulatory bodies, and other key outside parties.
- Set and keep consistent engagement and coverage at designated Financial Center(s).
- Support UFCU Mission, Visions and Values.
- Adhere to all company policies, procedures, and business ethics codes.
- Complete required regulatory Training as assigned.
- Maintain strict adherence and compliance to all laws, rules, regulations, and internal controls specific to your role, including but not limited to Bank Secrecy Act, Anti-Money Laundering, USA Patriot Act, OFAC and Fair Lending regulations.
- Strong organizational and project coordination skills.
- Excellent verbal, written, presentation, and interpersonal communication skills.
- Strong organizational and project coordination skills
- Proven relationship building and business development skills.
- Ability to establish trust with clients.
- Ability to adapt and implement changes as market and business conditions evolve.
- Knowledge of financial planning and investment reporting software.
- Progressive analytical knowledge
- Adaptability
- Building Member Loyalty
- Building Partnerships
- Communication
- Emotional Intelligence
- Focus on Results
- Bachelor's degree in a related field (e.g., finance, accounting, business).
- Minimum of five (5) years of experience in a related field.
- Extensive client service experience; managing an ongoing book of business.
- Credit union, financial institution, or investment firm experience.
- Proficient in Microsoft Office (Word, Outlook, Excel, Customer Relations Management software).
- FINRA Series 7 and either 63, 65, or 66 Series licenses (i.e., 7 & 63, 7 & 65, or 7 & 66).
- Texas Life, Accident, and Health Insurance license (or become licensed within 90 days of hire).
- Must be bondable.
- Licensed in Texas Life, Accident, and Health Insurance
- CFP designation.
- One (1) year administrative or clerical experience
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Financial Advisor - Austin, United States - Atria Wealth Solutions
Description
Job Description
Job DescriptionThrough its relationship with CUSO Financial Services, LP (CFS) University Federal Credit Union is seeking a Financial Advisor to join their team in the Austin, TX area.Job Summary
The Licensed Financial Advisor provides members, non-members, and UFCU employees with financial and retirement planning services. The Financial Advisor will provide investment advice by drawing upon a broad range of experience and knowledge, recommend appropriate financial solutions, and communicate information about risks, attributes, features, and benefits of investment products and services.
About UFCU
As Austin's largest locally owned financial institution, University Federal Credit Union is owned by, dedicated to, and always working for our Members. Our mission at UFCU is simple: to provide for the well-being of our Members. We're proud to focus on people — not profits. We deliver fair and honest products and outstanding service, and we work collaboratively within our organization as well as our community to help Members achieve their personal and financial goals.
Consistently receiving awards as the Top Credit Union and Top Mortgage Company, UFCU is proud of its people-first culture. We value our employees as much as our Members. We offer an environment where people care about each other – like family. If you want to love what you do, make an impact in your community, and have the power to help people change their lives – then we're glad you're here.
Essential Functions and Responsibilities.
Minimum Requirements
Preferred Requirements
** Representatives are employed by University Federal Credit Union and registered through CUSO Financial Services, LP (CFS). Member FINRA/SIPC. CFS is a broker/dealer and Registered Investment Advisor with a stable track record of serving the investment needs of credit unions and their members. To learn more about CFS, please visit
CFS (Member FINRA/SIPC) is a broker-dealer and Registered Investment Advisor with a stable track record of serving the investment needs of credit unions and their members. We deliver a clear path to the future of wealth management with the open-minded agility, senior-level access, and expert technology to help get you there. We are led by visionary financial services leaders who see farther. Ranked as one of the top broker-dealers in the industry, we work with many of the top financial institutions throughout the country.
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