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 plays a meaningful role in the responsibility for the advising, selling and servicing of UnionBanc Investment Services products and services to our valued clients.
Major Responsibilities:
This position is for you if you like to participate in these activities which include:
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Profiles clients by obtaining financial information and suitability information.
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Advises on the customized investment needs.
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Assesses client investment needs and goals, reviews existing investment portfolios /allocations and develops plan to meet the client needs.
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Advices to customers on a wide range of comprehensive investment products that include stocks, bonds, options, mutual funds, securities, annuities, insurance products, etc. Interprets financials market information on pricing, PE information, volume trends, etc. and other updates.
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Follow-ups with client contact to close the sales.
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Requires extensive financial analysis review of the client’s financial documents and assessment of suitability of investment products.
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Responsible for new sales generation thru referral activities.
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Maintains existing relationship with clients in order to handle future investment needs.
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Conducts business development functions, such as seminars and client appreciation events.
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Responsible for fast-growing customer relationships.
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Works with assigned branches to improve the overall banking relations and Bank wide products offered to customers.
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Responsible for all administrative compliance activities.
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Completes and maintains all required paperwork associated with the sales and maintenance of client accounts. This includes suitability update forms, account applications, acknowledgement forms, and any other required compliance paperwork depending on business done.
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All sales activities documented and paperwork provided will be able to support all recommendations and suitability requirements.
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Maintain paperwork submitted and sent in for master files and individual files at the branches for auditing purposes and follow-up.
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Advisor will maintain branch office to satisfy regulatory requirements.
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The Financial Advisors working space and literature will adhere to compliance requirements and be kept updated accordingly.
Qualifications:
Education, Licensure, Year of Experience (and type of work experience):
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Requires FINRA Series 7, 66 (or S-63 and 65) & respective State Life Insurance License
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Generally, requires a minimum of 5 years of validated 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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