Senior Financial Advisor, Vice President - Unionbanc Investment Services - Manhattan Beach, California

Union Bank, N.A. Manhattan Beach , CA 90267

Posted 3 months ago

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 plays a meaningful role in the responsibility for the advising, selling and servicing of UnionBanc Investment Services products and services to our valued clients.

This position is for you if you like to participate in these activities which include:

  • Profiles clients by obtaining financial information and suitability information.

  • Advises on the customized investment needs.

  • Assesses client investment needs and goals, reviews existing investment portfolios /allocations and develops plan to meet the client needs.

  • Advices to customers on a wide range of comprehensive investment products that include stocks, bonds, options, mutual funds, securities, annuities, insurance products, etc. Interprets financials market information on pricing, PE information, volume trends, etc. and other updates.

  • Follow-ups with client contact to close the sales.

  • Requires extensive financial analysis review of the client's financial documents and assessment of suitability of investment products.

  • Responsible for new sales generation thru referral activities.

  • Maintains existing relationship with clients in order to handle future investment needs.

  • Conducts business development functions, such as seminars and client appreciation events.

  • Responsible for fast-growing customer relationships.

  • Works with assigned branches to improve the overall banking relations and Bank wide products offered to customers.

  • Responsible for all administrative compliance activities.

  • Completes and maintains all required paperwork associated with the sales and maintenance of client accounts. This includes suitability update forms, account applications, acknowledgement forms, and any other required compliance paperwork depending on business done.

  • All sales activities documented and paperwork provided will be able to support all recommendations and suitability requirements.

  • Maintain paperwork submitted and sent in for master files and individual files at the branches for auditing purposes and follow-up.

  • Advisor will maintain branch office to satisfy regulatory requirements.

  • The Financial Advisors working space and literature will adhere to compliance requirements and be kept updated accordingly.

icon no score

See how you match
to the job

Find your dream job anywhere
with the LiveCareer app.
Mobile App Icon
Download the
LiveCareer app and find
your dream job anywhere
App Store Icon Google Play Icon
lc_ad

Boost your job search productivity with our
free Chrome Extension!

lc_apply_tool GET EXTENSION

Similar Jobs

Want to see jobs matched to your resume? Upload One Now! Remove
Chase Wealth Management Advisor Development Program Manhattan Beach CA (Manhattan Beach Village)

Jpmorgan Chase & Co.

Posted 2 weeks ago

VIEW JOBS 8/6/2019 12:00:00 AM 2019-11-04T00:00 Chase Wealth Management Advisor Development Program - Manhattan Beach, CA - (Manhattan Beach Village) Req #: 190065926 Location: Manhattan Beach, CA, US Job Category: Wealth Management Job Description: The Chase Wealth Management Advisor Development Program's mission is to develop and advance a diverse, inclusive community of Financial Advisors dedicated to the highest standards of excellence. As a Chase Financial Advisor, you will understand your client's financial goals and develop a personalized investment strategy to meet those goals. You will provide ongoing advice to your clients, building deep relationship with your clients, your community and your branch team. Your clients will fulfill their personal and financial dreams and goals because you helped put them on the path to achieving them. You will be a leader in the branch by championing, supporting and coaching your teammates to a great customer and employee experience. Are you a good listener? Are you the person everyone comes to for advice? Do you have a great work ethic with a drive to work hard and improve yourself and others? Do you work well with a team? The Financial Advisor Development Program If you are passionate about helping customers, building long lasting relationships and have a strong interest in pursuing a career in the financial industry, this could be the program for you! * The program is a 24-36 month rotational program that equips participants with foundational knowledge and skills as they experience multiple roles within our Chase branch organization. * You begin by studying and obtaining all the required licenses needed to be a Financial Advisor. Complete the Securities Industry Essential (SIE) exam, attain the Series 7, and 66 licenses, and the appropriate state Insurance Licenses. * You become a Relationship Banker in the second phase, then advance to Private Client Banker in the third phase and ultimately graduate the program and fulfill your goal of becoming a Financial Advisor with a Certified Financial Planning (CFP) designation. * The rotations through our bank enable you to develop a solid understanding of both Chase Wealth Management and Chase Consumer banking, allowing you an accelerated launch into your career as a Financial Advisor. We'll help you! * Build a successful career at JPMorgan Chase through the Advisor Development and training program, which includes one-on-one mentorship and coaching, ongoing investment and banking training to enhance your knowledge, and leaders committed to your success. * Study for your exams via our training materials, specialized coaching, regular office hours with a trainer who can answer your questions, practice tests, and more. * Learn the foundational skillset and product suite knowledge needed to be a successful Banker within our Chase branch network while collaborating with bank and investment partners daily to connect clients to the solutions available to them. * Seamlessly transition into a Financial Advisor with a deep understanding of our products and services along with a perfected client approach to help customers make the most of their money and build relationships that last a lifetime. Qualifications: * Bachelor's degree required at time of application * At least 3+ years of experience delivering exceptional customer service. Financial industry experience not required. Please Note: At this time the Advisor Development Program will not be considering candidates with current FINRA Series 6, 7, 63, 65 and 66 licenses. We will accept applicants with SIE, CFP, CFA and L&H/Group I. What you will receive: * Compensation that includes a base salary and guaranteed monthly incentive * A variety of programs and services to help meet the diverse needs of our employees, including 401k (for eligible employees), Employee Stock Purchase Plan, Employee Discount Programs, Business Resource Groups, Backup Child Care, Tuition Assistance Programs and Career Management, just to name a few. This position is subject to the Dodd Frank/Truth in Lending Act qualification requirements for Loan Originators. As such, an employment offer for this position is contingent on JPMC's review of your criminal conviction history, credit report, information available through NMLS, and any other information relevant to a determination by JPMC that you demonstrate financial responsibility, good character, and general fitness for the position. Note that any felony conviction within the last seven years will disqualify you from consideration for this position. Your continued employment in this position would be contingent upon compliance with Truth in Lending Act/Dodd Frank Loan Originator requirements. In addition, this position requires National Mortgage Licensing System and Registry (NMLS) registration under the SAFE Act of 2008. As such, upon active employment with JPMorgan Chase, you will be required to either register on NMLS, or to update your existing registration as necessary to grant access to and reflect your employment with JPMorgan Chase. Your continued employment in this position with JPMorgan Chase is contingent upon compliance with the SAFE Act, including successful registration immediately after your start date, and timely completion of annual renewal and required updates thereafter. Any information obtained during the registration, update, and renewal processes or through NMLS notifications may impact your employment with the firm. Any of the completed information you provide during the Chase on-line application process may be transferred, on your behalf, to NMLS by JPMorgan Chase. Please carefully review the information you provide to Chase for accuracy and consistency and with any current NMLS record, if applicable, before submitting. Further information about NMLS and registration requirements of registration can be found at: http://mortgage.nationwidelicensingsystem.org/SAFE/Pages/default.aspx Jpmorgan Chase & Co. Manhattan Beach CA

Senior Financial Advisor, Vice President - Unionbanc Investment Services - Manhattan Beach, California

Union Bank, N.A.