Senior Financial Advisor – Retirement & Investments

Wescom Central Credit Union; King City (CA); Hybrid; USD 70,304 - 115,000; Full time

Job summary

Wescom Central Credit Union is seeking an experienced Investment Specialist to meet with members, profile their financial goals, and provide suitable long-term investment advice.

You will train branch staff, work with management on business plans, and ensure compliance with FINRA, SEC, and state insurance regulations while helping members reach their retirement and college funding goals.

Qualifications

• Bachelor's Degree with a minimum of 5 years investment sales experience.
• FINRA Series 7, 65 or 66, and California Department of Insurance Life and Disability licenses are required.

Responsibilities

• Identify and evaluate member needs for investment services and develop financial plans.
• Develop and maintain long-term relationships with members and stay current on investment products and services.
• Ensure compliance with FINRA, SEC, and California Department of Insurance requirements.
• Stay current on written supervisory procedures and compliance memos.
• Collaborate with RMSRs/MSRIIIs to improve product knowledge and meet referral and production goals.

Skills

Investment sales

Financial advisory

Client relationship building

Regulatory compliance

Staff training

Education

Bachelor's Degree

Tools

Microsoft Office

Job description

Wescom Central Credit Union is seeking an experienced Investment Specialist to meet with members, profile their financial goals, and provide suitable long-term investment advice.

You will train branch staff, work with management on business plans, and ensure compliance with FINRA, SEC, and state insurance regulations while helping members reach their retirement and college funding goals.