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Client Associate, Officer - UnionBanc Investment Services Direct Center

Company: MUFG
Location: Tempe
Posted on: June 10, 2021

Job Description:

Client Associate, Officer - UnionBanc Investment Services Direct Center

  • Requisition # 10042990-WD
  • Job Type Day
  • Location Tempe, ARIZONA
  • Brand
  • Date Posted 04/15/2021

Your potential. Your opportunity.

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:

Reporting to the Wealth Markets Direct Channel Manager of UnionBanc Investment Services, the Client Associate - UBIS Direct supports all activities of the Financial Advisors ("FAs") and Senior Financial Advisors ("SFAs") in the Financial Advisor Center (FAC), who offer investments, and insurance products. Assist in the creation of financial plans for brokerage clients. Cross-sell other investment and bank products to existing client base and develop new business through customer referrals and working with banking partners and clients.

Management or Supervision: No

Major Responsibilities:

  • Support Financial Advisors and Senior Financial Advisors in the FAC to offer investments to clients of the Bank.
  • Once registered work with new and existing clients to provide market data, place trades and educate them about investment choices.
  • Work with clients to provide account information, issue sales/marketing materials, customer service, solve operational issues, and order supplies.
  • Assist in creating financial plans for clients as directed by an advisor.
  • Act as a liaison between the Retail Bank and UBIS, to help to set expectations and communicate with key partners.
  • Coordinate and distribute client mailings.
  • Organize and execute client facing events in coordination with Financial Advisors by monitoring referral system.
  • Coordinate and set appointments for advisors.


Education, Licensure, Year of Experience (and type of work experience):

  • Minimum of 1 year of experience in a sales or customer service capacity.
  • If not already in possession, must obtain Series 7 and 63, and 65 within 4 months.

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.

A conviction is not an absolute bar to employment. Factors such as the age of the offense, evidence of rehabilitation, seriousness of violation, and job relatedness are considered in all employment decisions. Additionally, it's the bank's policy to only inquire into a candidate's criminal history after an offer has been made. Federal law prohibits banks from employing individuals who have been convicted of, or received a pretrial diversion for, certain offenses.

Keywords: MUFG, Tempe , Client Associate, Officer - UnionBanc Investment Services Direct Center, Other , Tempe, Arizona

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