The Financial Consultant provides investment advisory services for NWFA's clients by creating tailored investments strategies to help them create, grow, protect and preserve their assets and providing independent, objective advice and professional investment management using a comprehensive life-planning approach. They will meet with prospects, open and service accounts, place trades and collaborate with the credit union team to develop relationships to generate business opportunities.
Responsibilities
Outreach to clients that are assigned to Financial Consultants in FC team to offer review consultations
Conduct client meetings to update necessary financial information, assess their unique goals, determine their needs and look for opportunities to gain wallet share
Prepare financial plans, as necessary, utilizing financial planning software
Learn all firm offerings and products and services from LPL
Maintain a minimum client service score
Make sure all accounts are within their defined risk score with their investment objective
Update and maintain accurate records in CRM system related to clients assigned
Responsible for all servicing of existing accounts
Prepare paperwork to open new accounts and ensure all paperwork is in good order
Places trades as necessary
Searches for cross-sell opportunities back to the credit union or subsidiaries based on the client's needs
Maintains compliance with all NWFG, NWFA and broker-dealer policies and procedures, and all rules set forth by FINRA, SEC and applicable state regulators
Remains cognizant of and adheres to NWFCU policies and procedures as well as regulations pertaining to the Bank Secrecy Act (BSA)
Performs other related duties as assigned
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Qualifications
Bachelor's Degree required or equivalent years of experience; within the financial services field is preferred
A FINRA Series 7 is required
FINRA 63/65 or 66 is strongly preferred
Minimum of two years' work experience in the investment industry is required
An active Life and Health Insurance license is required (may be obtained within a 120 days of employment)
Strong client relationship-building experience
Demonstrate a deep understanding of financial markets and can effectively simplify complex financial concepts while building relationships with clients
Strong organizational skills are a must
Ability to work independently and effectively manage multiple tasks at one time while meeting deadlines
Clean SEC and FINRA record
Hybrid remote work
Must be able to work the hours of M-F 8:00am-5:30pm
EEO Notice
Northwest Federal Credit Union is an Equal Opportunity Employer and will consider all qualified applicants without regard to race, color, age, religion, sex, sexual orientation, gender identity, genetic information, national origin, disability, protected veteran status or any other classification protected by law.
NWFCU complies with federal and state disability laws and makes reasonable accommodations for applicants and employees with disabilities. If reasonable accommodation is needed to participate in the job application or interview process, to perform essential job functions, and/or to receive other benefits and privileges of employment, please contact the Human Resources Department at 703-709-8900 or HRDepartment@nwfcu.org.
