Financial Advisor (must have licenses Series 7, 63 and 65 or 66)
Company: Tri Counties Bank
Location: San Francisco
Posted on: April 10, 2021
|
|
Job Description:
FINRA licenses required: Series 7, 63 and 65 or 66Tri Counties
Bank is able to offer new Financial Advisors guaranteed salary for
a specific length of time, a transition package to help make the
move to Tri Counties Bank, and a sign-on bonus. If you have a
proven record of success, check us out to find out why coming to
work with us could be the best career move you ever make.Our
Financial Advisor provides investment advice to current and
prospective clients ("Clients") to help them achieve their
financial and business goals. This advice includes recommending
suitable financial products and services depending on each Client's
particular financial status and objectives. Our Financial Advisor
gathers and analyzes confidential information from a Client to make
an appropriate recommendation, including information such as a
Client's objectives, income, assets, investments, debts, investment
experience, time horizon, liquidity needs, risk tolerance and other
personal information. Based on this information our Financial
Advisor will determine which financial products best meet the
Client's needs and financial circumstances. Our Financial Advisor
advises and educates Clients regarding the risks, advantages and
disadvantages of the different products and services available to
them to meet their financial goals.Major ResponsibilitiesOur
Financial Advisor is expected to spend most of his or her time
providing the following services:* Interviews Clients and conducts
appropriate due diligence to obtain key financial information and
investment goals, and develops a Client profile* Uses financial
planning as a tool to uncover Client needs and suitable solutions*
Compares and evaluates possible investment options, and identifies
investment strategies and potential investments based on the
Financial Advisor's knowledge of market conditions and the Client's
particular circumstances;* Analyzes each Client's financial
situation to recommend only those investments that are suitable for
the Client's particular financial status and objectives* Advises
Clients about the risks, advantages, and disadvantages of various
investment opportunities and strategies in light of their financial
circumstances* Designs, implements, and maintains investment plans
to address Client financial goals and business succession needs*
Stays current on economic events and trends* Remains thoroughly
informed regarding NDIP Investment Services and Bank changes in
services, products and policies* Engages in promotion or business
development activities, including the marketing, servicing, and
promoting of financial services and products* Opens Client
accounts, initiates and confirms Client orders, maintains Client
files and records and prepares all required reports* Maintains all
information relating to Client accounts and Bank affairs in
strictest confidence* Complies with all rules and regulations as
prescribed by the Financial Industry Regulatory Authority (FINRA),
the current broker/dealer and all applicable State Insurance
Commissions* Complies with FDIC regulations including but not
limited to Bank Secrecy Act, Suspicious Activity Reporting, OFAC,
Information Security Guidelines, Identity Theft Red Flags and FDIC
rules on Non-Deposit Investment Products (NDIP).Other
Responsibilities* Participates in continuing educational courses
through the Bank, the current broker/dealer, FINRA, various
insurance carriers and the State Insurance Commissions* Maintains
NDIP Investment center and display areas and handles public
relations within branch locations* Reads and understands the
current broker/dealer Compliance Manual and remains current on all
communications from the broker/dealer Compliance Department, FINRA
and all State Insurance Commissioner Offices* Maintains a high
level of professionalism, integrity and compliance with the Bank's
standards of conduct* Maintains a current understanding of Bank
policies and procedures in compliance with all federal and state
laws, including but not limited to Bank Secrecy Act (SARs, CIP,
OFAC), Information Security (GLBA), Identity Theft Red Flags,
Financial Elder Abuse Reporting, and any other applicable
regulations that may be specific to your job duties.* Performs
other work-related duties as assignedEducation, Experience And
Other Skills Required* High school diploma or GED required*
Undergraduate degree or commensurate business experience preferred*
FINRA licenses required: Series 7, 63 and 65 or 66* State of
California life, health and disability insurance license* Previous
securities industry experience and direct investment advice
experience is required* Previous securities investment advice
experience in a banking environment preferredCompany
ProfileEstablished in 1975, Tri Counties Bank is a wholly-owned
subsidiary of TriCo Bancshares (NASDAQ:TCBK) headquartered in
Chico, California, providing a unique brand of customer Service
with Solutions available in traditional stand-alone and in-store
bank branches in communities throughout Northern and Central
California.The Bank provides an extensive and competitive breadth
of consumer, small business and commercial banking financial
services, along with convenient around-the-clock ATM, online and
mobile banking access.Tri Counties Bank has remained strong and
profitable through a top-down commitment to its core values, sound
business principles and responsible lending practices.Our success
is also based on our involvement in the communities we serve. The
personal touch comes naturally to Tri Counties Bankers. You may
recognize us at business, school and non-profit events, baseball
games and local eateries, skiing in the mountains, boating on the
lakes, and fishing the local streams or attending an event in The
City or on the peninsula.
Keywords: Tri Counties Bank, San Francisco , Financial Advisor (must have licenses Series 7, 63 and 65 or 66), Accounting, Auditing , San Francisco, California
Click
here to apply!
|
Didn't find what you're looking for? Search again!
Other Accounting, Auditing JobsFinancial Counselor Description: Department: Hospital Patient Billing Shift: Primarily Days United States of America Type: Regular Job Description POSITION SUMMARY The Financial Counselor ensures collection activity on all Acute Care (more...) Company: Marshall Medical Center Location: Placerville Posted on: 04/14/2021 Manager, Commercial Accounting Description: Manager, Commercial Accounting br The Manager, Commercial Accounting will have a critical and highly visible role in the process design, implementation, and documentation of accurate recording of product (more...) Company: Adamas Pharmaceuticals, Inc. Location: Emeryville Posted on: 04/14/2021 Veterans Preferred - Financial Analyst - Corporate Analysis Description: Military Veterans are Encouraged to Apply. Company Description As the world's leader in digital payments technology, Visa's mission is to connect the world through the most creative, reliable and secure (more...) Company: Visa Location: San Francisco Posted on: 04/14/2021 Mail Processor - Postal Service Description: MAIL PROCESSOR ----- POSTAL SERVICENO EXPERIENCE REQUIRED ----- PAID TRAINING PROVIDED ----- JOB SECURITY br br br The Postal Service is the largest government related agency in terms of employees. (more...) Company: USA Labor Services Location: Campbell Posted on: 04/14/2021 VP/Controller Description: Direct Hire opportunity for pre-IPO Technology SaaS Company in San Francisco Bay Area. br Comp: competitive salary, bonus, equity Keys: ul li The candidate will work cross-functionally and globally (more...) Company: EGS Location: San Francisco Posted on: 04/14/2021 Municipal Fixed Income Trader Description: Job DescriptionImportant Note: During the application process, ensure your contact information email and phone number is up to date and upload your current resume when submitting your application for (more...) Company: Wells Fargo Location: San Francisco Posted on: 04/14/2021 Strategy Consultant 3: Solutions Lead for Community Banking, Research & Development Description: Job DescriptionImportant Note: During the application process, ensure your contact information email and phone number is up to date and upload your current resume when submitting your application for (more...) Company: Wells Fargo Location: San Francisco Posted on: 04/14/2021 Financial Consultant - Walnut Creek, CA Description: Job Description:With your extraordinary knowledge and incomparable integrity, we know that clients invest their trust in you. Join a team that also invests in you with key product and service offerings, (more...) Company: Fidelity Investments Location: San Francisco Posted on: 04/14/2021 Senior Manager, FP&A Description: At Qualia, we've built a new class of real estate technology that simplifies home buying and selling into an easy, understandable, and secure process. Our products bring together users from across the (more...) Company: Qualia Location: San Francisco Posted on: 04/14/2021 Tax Preparer Assistant Description: What you'll do... br br The Tax Preparer Assistant will assist tax preparers by starting and closing the tax interview. Begin the tax return by entering Company: H&R Block Location: Millbrae Posted on: 04/14/2021 |