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Investment Advisor
Union Bank
Glendale, CA, United States
Job Details - this job has expired, please see similar jobs below
Work with Retail Bank Partners to sell various investment vehicles including, Mutual Funds, UITs, Annuities, Brokered CD's and fee based investment products. Assist customers in realizing their investments while also producing fee income for the Bank, cross-sell other investment and bank products to existing customer base, and develop new business through working with banking partners and clients.
Major Responsibilities:
60% - Receive and resolve client operational issues, such as questions regarding dividend payments, re-org items, statements and trade confirmations etc. via incoming calls, mail and electronic correspondence.
30% - Place 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 client investment needs with available products and services where appropriate. Refer larger, more sophisticated clients to a UBIS Advisor.
10% - Keep clients current on changing regulatory and product policies and procedures. Also keep clients 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.
Qualifications
Requires FINRA License Series 7, 66 and 63 in addition to technical work related experience from 0 to 2 years.
The above statements are intended to describe the general nature and level of the 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.