Financial Advisor – Valley Coast Market

Jobtailor; Santa Barbara (CA); On-site; USD 60,000 - 100,000; Full time

Job summary

Jobtailor in Santa Barbara, CA is seeking a Financial Advisor to work with high-net-worth clients, identify needs, develop relationships, review investment goals, and prepare comprehensive recommendations.

Candidates should have Series 7 and 66 licenses (or equivalents), with at least one year in investments or financial services, strong communication and relationship skills, and the ability to prospect and meet performance targets.

Qualifications

• Licenses required: Series 7 and 66, or equivalents.
• At least 1 year of investments or financial services sales experience.
• Strong communication and relationship-building skills.
• Ability to source clients through referrals, prospecting, and networking.

Responsibilities

• Work with high-net-worth clients to identify needs and prepare investment recommendations.
• Develop a book of business to meet performance goals.
• Source prospective clients via referrals, prospecting, and networking.
• Assess customer needs and refer to internal specialists.
• Recommend suitable investment products and services based on objectives and risk profile.
• Balance growth, referrals, follow-up, and admin compliance while developing professionally.
• Organize time, people, and budget to run a productive practice.
• Collaborate with Merrill teams and banking partners to serve clients.

Skills

Client relationship management

Sales experience

Interpersonal skills

Communication skills

Networking

Prospecting

Team collaboration

Listening skills

Entrepreneurial mindset

Goal-oriented

KYC procedures

Technical literacy

Education

Bachelor’s degree

High School Diploma / GED

Tools

Salesforce

Microsoft Excel

Microsoft PowerPoint

Microsoft Word

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 established 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 objectives, resources, time horizon, risk profile, and preferences
• Balance investment growth, referral activities, customer follow-up, prospect building, administrative compliance, and personal development
• Organize and manage time, people, and budget to run a productive practice
• Seek specialist expertise to identify client 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, core banking partners, 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 in the financial services 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
• Effective written and verbal communication skills
• Ability to listen, 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
• Bachelor’s degree and/or a minimum of one year of financial services industry or sales experience (desired)
• Minimum education requirement: High School Diploma / GED / Secondary School or equivalent
• Must complete SAFE Act registration and required background check; employees must remain in good standing
• Must comply with applicable FDIC, SAFE Act, Loan Originators, and FINRA restrictions

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
• Referral Activities
• Prospecting
• Administrative Compliance

Tools & Technologies

• Salesforce
• Microsoft Word
• Microsoft PowerPoint
• Microsoft Excel