Wealth Planner

Description

General Responsibilities

Responsible for providing advisory services to individual and institutional clients; This includes developing new business, and providing financial solutions that include mutual funds, stocks, bonds, ETFs, annuities, and other insurance products and services; achieving goals as established in the division’s annual operating plan; ensuring compliance with operating policies and procedures and outside regulatory requirements; communicating with appropriate management and staff personnel; maintaining appropriate records and providing periodic reports.

Essential Duties

Sells mutual funds, stocks, bonds, ETFs, annuities, and other investment and/or insurance products and services to individual and institution customers and develops new business as illustrated by the following: 

• Makes business development calls to establish new relationships and retain existing client relationships.
• Interviews and profiles prospects, ensuring suitability of products sold.
• Maintain existing client relationships by providing periodic account reviews.
• Provides investment and insurance recommendations to meet individual client needs and objectives.
• Responsible for an assigned group of bank branches.
• Trains and develops branch personnel in the identification and referral of qualified Wealth Management business prospects.
• Maintains customer and sales logs as required by appropriate regulators.
• Stays current on all regulatory requirements assigned by the broker dealer.
• Stays current on all regulatory requirements assigned by the bank.

Requirements

Education/Training: A B.S. or B.A. degree in a related field normally required; FINRA securities license; Series 7, 63, and 65 or 66 licenses; Pennsylvania Life and Health Insurance license; Or ability to achieve within 90 days; Specialized education/training relating to investment advice and sales. 

Skill(s): Demonstrates strong communication skills; proficient interpersonal skills including the ability to work will all levels of employees and types of customers; proficient PC skills including but not limited to Microsoft PowerPoint, Excel, and Word; proficient organizational skills; strong working knowledge of a broad range of personal financial planning/ advisory and investment management/ asset allocation concepts; experience working in a sales/ service environment; knowledge of investment support duties and regulatory requirements of the position.

Experience: A minimum of five (5) years’ experience in related positions normally required.

Ancillary Duties

Performs tasks which are supportive in nature to the essential functions of the job, but which may be altered or re-designed depending upon individual circumstances.

Physical Requirements

The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this position. Reasonable accommodation may be made to enable individuals with disabilities to perform the essential functions. While performing the essential job functions of this position, the employee is regularly required to sit, stand, talk, hear, walk, use hands and fingers, handle or feel objects, and reach with hands and arms. At times required to stoop, kneel, bend, crouch and lift up to 25 pounds. This position requires regular use of a computer.