UnionBanc Investment Services, a wholly owned subsidiary of Union Bank, is a trusted and highly respected broker-dealer and investment advisor that has helped clients reach their investment goals for more than three decades. We offer a comprehensive selection of competitive investment services and products to assist our clients with their financial goals.
Our team of talented professionals embodies the ingenuity, exceptional attitude, and passion for exemplary client service that drives our success. We respect diverse backgrounds, talents, and skills and place an emphasis on the value each individual brings to the equation. A consistent business philosophy, a well-defined and actionable strategic plan, and an inspired vision for the future are what make us unique. Be part of an environment where you can do what you love, excel at what you do, realize the rewards, and take pride in your achievements.
Job Summary:
The Financial Advisor âDirect is responsible for the advising, selling and servicing of UnionBanc Investment Services (UBIS) products and services. The FA will work with affluent customers offering our full array of investment capabilities while providing financial solutions via telephone and web contacts in the UBIS Direct call facility. Responsible for making outbound sales calls for retention, growth, and acquisition while assisting customers with their investments and producing fee income for the Bank. The FA will respond to inbound calls driven by Branch referrals, marketing, advertising and other sources to acquire and deepen customer relationships.
Management or Supervision: NO
Major Responsibilities:
Responsible for the advising and servicing of UnionBanc Investment Services products to internal and external prospects of the bank. Profiles customers by obtaining financial information and suitability information. Advises on the customized investment needs. Advices customers on a wide range of comprehensive investment products that include stocks, bonds, options, mutual funds, securities, annuities, insurance products, etc. Requires extensive financial analysis review of the customer’s financial statements and assessment of suitability of investment products. Works with assigned branches to enhance the overall banking relations and Bank wide products offered to customers Completes and maintains all required paperwork associated with the sales and maintenance of customer accounts. This includes suitability update forms, account applications, acknowledgement forms, and any other required compliance paperwork depending on business done. Must adhere to all suitability, compliance and regulatory requirements.
60% – Sales and Business Development Place investment transactions, as directed by customers, assist them with their investment decision making and provide them with current financial market information. Re-profile existing customers as to changes in their financial circumstances, risk tolerance, and investment needs. Meet customer investment needs with available products and services where appropriate. Refer larger, more sophisticated clients to a Senior Financial Advisor. Keep customers current on changing regulatory and product policies and procedures. Also keep customers updated on changing UBIS policies and procedures. Accept new customers as referred from the branch network and from existing customer base. Educate new customers and prospects on applicable product offerings.
30% – Customer Service Receive and resolve customer operational issues, such as questions regarding dividend payments, re-org items, statements and trade confirmations etc. via incoming calls, mail and electronic correspondence.
10% – Risk Management Must adhere to all suitability, compliance and regulatory requirements.
Qualifications:
Education, Licensure, Year of Experience (and type of work experience):
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Requires FINRA License and NASD Series 7, 66 and 63 & respective State Life Insurance License
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0 to 3 years minimum of investment sales experience.
Knowledge, Skills, Abilities:
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Requires the ability to maintain a book of clients.
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Requires developed verbal and written communications and interpersonal skills.
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Must show success in soliciting new relationships and customers.
The above statements are intended to describe the general nature and level of the work being performed. They are not intended to be construed as an exhaustive list of all responsibilities, duties, and skills required of personnel so classified.
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