Financial Advisor, Merrill Advisor Development Program

Jobtailor; Santa Barbara (CA); On-site; USD 90,000 - 130,000; Full time

Job summary

Merrill is seeking a Financial Advisor to work with high-net-worth clients, developing relationships and preparing comprehensive investment recommendations. You will build a book of business, source prospects, and coordinate with internal specialists to meet client needs and regulatory standards.

Responsibilities include presenting suitable investment products, documenting interactions in Salesforce, and collaborating with advisory teams while maintaining high ethical and compliance standards.

Qualifications

• Series 7 and 66 licenses or equivalent.
• Minimum 1 year in investments and financial services or sales.
• Proven ability to prospect and build client relationships.
• Strong written and verbal communication skills.
• Ability to learn and adapt to digital tools and systems.
• Knowledge of KYC procedures and compliance requirements.

Responsibilities

• Identify client needs, develop relationships, and prepare investment recommendations.
• Develop a book of business to meet performance hurdles.
• Source prospects through referrals, prospecting, and networking.
• Assess client needs and refer to internal specialists.
• Recommend investment products aligned with client objectives and risk profile.
• Balance growth, referrals, follow-up, and compliance activities.
• Organize time, people, and budget to run a productive practice.
• Collaborate with Merrill teams and partners; document client interactions in Salesforce.

Skills

High-Net-Worth Clients

Client Relationship Management

Investment Knowledge

Sales Experience

KYC Procedures

Financial Services Knowledge

Performance Goals

Prospecting

Networking

Series 7 License

Series 66 License

SAFE Act Registration

CRM (Salesforce)

CRM Proficiency

Education

High School Diploma

Bachelor’s degree desired

Tools

Salesforce

Microsoft Word

Microsoft PowerPoint

Microsoft Excel

Job description

• Work with high-net-worth clients to identify needs, develop relationships, review investment goals, and prepare comprehensive investment recommendations


• Develop a book of business to meet and exceed performance hurdles


• Source prospective clients through referrals, prospecting, and networking


• Assess customer needs and refer customers to appropriate internal specialists


• Recommend suitable investment products and services based on client objectives, resources, time horizon, risk profile, and preferences


• Balance investment growth, referral activities, customer follow-up, prospect building, administrative compliance, and professional development


• Organize and manage time, people, and budget to run a productive practice


• Seek specialist expertise to identify planning and investment strategies


• Complete mandated training, assessments, performance goals, and continuing education


• Handle inbound inquiries regarding Merrill offerings


• Position Merrill and Bank of America capabilities


• Collect client profile data and follow standard KYC procedures to open accounts


• Serve as interim Financial Advisor and service client accounts


• Document client interactions and opportunities accurately in Salesforce


• Collaborate with and receive mentorship from Merrill Financial Advisor Teams and banking and investment partners

Requirements

• Currently holds Series 7 and 66 licenses, or equivalent Series 63 and 65 in lieu of Series 66


• Minimum of one year of experience in the investments industry, including investment training and in-depth knowledge of investment products and services


• Minimum of one year of experience working in the financial service industry and/or a sales environment where goals were met or exceeded


• Proven ability to engage with and influence others


• Exceptional interpersonal and relationship building skills with a proven ability to quickly build trust and credibility


• Effective written and verbal communication skills


• Ability to listen and probe for clarity and understanding, assess needs, and recommend appropriate solutions


• Ability to work collaboratively on a team and with key partners


• Goal and results oriented with strong follow-through skills


• Entrepreneurial mindset with ability to source clients through prospecting and networking


• Ability to work where the majority of compensation is tied to performance


• Computer/technical literacy and proficiency in Microsoft Word, PowerPoint, and Excel


• High School Diploma / GED / Secondary School or equivalent


• SAFE Act registration and required background check


• Ability to comply with applicable FDIC, SAFE Act, Loan Originators, and FINRA requirements


• Bachelor’s degree and/or a minimum of one year of financial services industry or sales experience is desired


• Ability to learn and adapt to new technologies, systems, and digital tools


• Ability to manage multiple priorities in a dynamic, deadline-driven environment

Core Competencies

Demonstrates expertise in client relationship management, investment product recommendations, and compliance with financial regulations. Proven ability to develop a book of business through networking and prospecting while achieving performance goals.

Highest-signal resume keywords

• Series 7 License


• Series 66 License


• Investment Product Knowledge


• Client Relationship Management


• Sales Experience

ATS Optimization Keywords

Hard Skills

• Investment Recommendations


• KYC Procedures


• Financial Services Knowledge


• Performance Goal Achievement


• Client Profiling

Soft Skills

• Interpersonal Skills


• Relationship Building


• Effective Communication


• Listening Skills


• Team Collaboration

Certifications & Qualifications

• Series 7 License


• Series 66 License


• SAFE Act Registration

Industry Keywords

• High-Net-Worth Clients


• Investment Goals


• Prospecting


• Networking


• Financial Compliance

Tools & Technologies

• Salesforce


• Microsoft Word


• Microsoft PowerPoint


• Microsoft Excel