Sr Financial Advisor, Vice President UnionBanc Investment Services - Westwood, Brentwood & Century City, California
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: Responsible for the advising, selling and servicing of UnionBanc Investment Services products and services.
Major Responsibilities: Responsible for the advising and servicing of UnionBanc Investment Services products to internal and external prospects of the bank. These activities include: Profiles clients by obtaining financial information and suitability information. Advises on the customized investment needs. Assesses client investment needs and goals, reviews existing investment portfolios /allocations and develops plan to meet the client needs. 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. Follow ups with client contact to close the sales. Requires extensive financial analysis review of the client's financial statements and assessment of suitability of investment products. Responsible for new sales generation thru referral activities. Maintains existing relationship with clients in order to manage future investment needs. Conducts marketing campaigns and business development functions, such as seminars and client appreciation events. Responsible for expanding customer relationships. Works with assigned branches to enhance the overall banking relations and Bank wide products offered to customers Responsible for all administrative compliance activities. - 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. All sales must be documented and paperwork provided must be able to support all recommendations and suitability requirements. Paperwork must be sent in for master files and individual files must be maintained at the branches for auditing purposes and follow-up. Each branch office must office be maintained by reps to satisfy regulatory requirements. Working space and literature must adhere to compliance requirements and be kept updated accordingly.
MINIMUM JOB REQUIREMENTS:
Requires FINRA Series 7, 6 or 63 and CA Life & AD&D Insurance Licenses. Generally requires a minimum of 5 years of proven investment sales rs of proven investment sales experience. Requires the ability to maintain a book of clients. Requires developed verbal and written communications and interpersonal skills. Must show success in soliciting new relationships and customers.
The above statements are intended to describe the general nature and level of 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.
We are proud to be an Equal Opportunity / Affirmative Action Employer and committed to leveraging the diverse backgrounds, perspectives, and experience of our workforce to create opportunities for our colleagues and our business. We do not discriminate in employment decisions on the basis of any protected category.