Client Associate, Officer - UnionBanc Investment Services Direct
- Requisition # 10042990-WD
- Job Type Day
- Location Tempe, ARIZONA
- 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.
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
- 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
- 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
- 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
- Minimum of 1 year of experience in a sales or customer service
- 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
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