Sr. Financial Advisor, Vice President - Financial Advisor Center - UnionBanc Investment Services
Company: Union Bank
Location: Tempe
Posted on: May 14, 2022
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Job Description:
Are you passionate about creating an exceptional client
experience?Discover your opportunity with Union Bank -, a division
of the Mitsubishi UFJ Financial Group (MUFG), the 5th largest
financial group in the world. At Union Bank, we have our clients'
best interest in mind and draw on more than 160 years of experience
to understand their distinct needs to tailor our solutions. We're
part of 180,000 colleagues around the globe striving to be the
world's most trusted financial group, knowing that trust starts
with a culture of putting people first and empowering you to
achieve your potential.Join Union Bank, where being inspired is
expected and creating results is rewarded.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 Direct is responsible for the
advising, selling, and servicing of UnionBanc Investment Services
(UBIS) products and services. The FA will work with affluent
customers offering our full array of investment capabilities while
providing financial solutions via telephone and web contacts in the
UBIS Direct call facility. Responsible for making outbound sales
calls for retention, growth, and acquisition while assisting
customers with their investments and producing fee income for the
Bank. The FA will respond to inbound calls driven by Branch
referrals, marketing, advertising, and other sources to acquire and
deepen customer relationships.Major Responsibilities:Responsible
for the advising and servicing of UnionBanc Investment Services
products to internal and external prospects of the bank.Profiles
customers by obtaining financial information and suitability
information.Advises on the customized investment needs.Advices
customers on a wide range of comprehensive investment products that
include stocks, bonds, options, mutual funds, securities,
annuities, insurance products, etc.Requires extensive financial
analysis review of the customer's financial statements and
assessment of suitability of investment products.Works with
assigned branches to enhance the overall banking relations and Bank
wide products offered to customersCompletes and maintains all
required paperwork associated with the sales and maintenance of
customer accounts. This includes suitability update forms, account
applications, acknowledgement forms, and any other required
compliance paperwork depending on business done.Must adhere to all
suitability, compliance, and regulatory requirements.60% - Sales
and Business DevelopmentPlace investment transactions, as directed
by customers, assist them with their investment decision making and
provide them with current financial market information.Re-profile
existing customers as to changes in their financial circumstances,
risk tolerance, and investment needs.Meet customer investment needs
with available products and services where appropriate.Refer
larger, more sophisticated clients to a Senior Financial
Advisor.Keep customers current on changing regulatory and product
policies and procedures.Also keep customers updated on changing
UBIS policies and procedures.Accept new customers as referred from
the branch network and from existing customer base.Educate new
customers and prospects on applicable product offerings.30% -
Customer Service- Receive and resolve customer operational issues,
such as questions regarding dividend payments, re-org items,
statements, and trade confirmations etc. via incoming calls, mail,
and electronic correspondence.10% - Risk Management- Must adhere to
all suitability, compliance, and regulatory
requirements.Qualifications:Education, Licensure, Year of
Experience (and type of work experience):Position requires FINRA
licenses; series 7 & 66 License(s). Series 63 and 65 can be used in
placed of the 66.Respective State Life Insurance will be required
within 90 days of start date.3-5+ years' minimum of investment
sales experience.Knowledge, Skills, Abilities:Requires the ability
to maintain a book of clients.Requires developed verbal and written
communications and interpersonal skills.Proven 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 on the basis of race, color,
national origin, religion, gender expression, gender identity, sex,
age, ancestry, marital status, protected veteran and military
status, disability, medical condition, sexual orientation, genetic
information, or any other status of an individual or that
individual's associates or relatives that is protected under
applicable federal, state, or local law.Some MUFG roles require
that individuals be fully vaccinated against COVID-19, subject to
exemptions for medical or religious reasons, as well as any other
reason required by applicable law or order. Should you be selected
for an interview, your recruiter will provide additional
information.
Keywords: Union Bank, Tempe , Sr. Financial Advisor, Vice President - Financial Advisor Center - UnionBanc Investment Services, Executive , Tempe, Arizona
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