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Associate Financial Advisor

Company: M&T Bank
Location: Leesburg
Posted on: July 14, 2019

Job Description:

Overview: Conducts a needs analysis of current and potential customers under guidance and direction of more experienced Financial Advisors. Based on these analyses, profiles, assesses and closes sales opportunities for existing and perspective customers within assigned book, branch(es) and Market. Primary Responsibilities: - Based on an individualized needs analysis, prepare recommendations for customized financial solutions to current and potential Bank customers, and including a diversified set of products and services to meet these needs and with their best interests in mind; offer an array of products and services best suited to meet these needs; sell and close these with some oversight and support from a more experienced Financial Advisor. - Meet or exceed established sales goals for assigned Market, while meeting individual client needs and complying with pertinent policies and regulations. - Increase assets under management by offering investment and insurance solutions to clients and leveraging partnerships in Retail and Business to increase referrals. - Support partnerships/relationships with Retail and Business Banking through ongoing account reviews and re-evaluation of customer needs. Deliver a high quality customer service experience during each customer interaction through a complete understanding of sales process, policies and licensing requirements to contribute to the attraction, retention and expansion of client relationships. - Ensure accuracy in completing required paperwork to comply with standard procedures, regulatory requirements and firm policies. - Regularly review customer information to ensure compliance with BSA (Bank Secrecy Act), AML (Anti-Money Laundering) and KYC (Know Your Customer) requirements to protect Bank interests. Address issues of non-compliance by requesting additional information from the client and updating the remediation tool in the appropriate system. - Support the best interest and needs of the customer by using the M & T Securities sales process and Wayfinder to profile and identify customer needs; use sales tools and modules to offer the best advice and products in support of the best interest and needs of the customer and within defined standard procedures and regulatory requirements. - Maintain customer appointment activity log on a weekly basis, to substantiate advisory and referral activity; follow-up on activity levels of all products to meet or exceed expectations. - Maintain and build referral channel and strong partnerships with Retail branch partners and Business Banking to ensure investment needs of current and potential customers in assigned Market and branches are met or exceeded. - Conduct joint appointments and work collaboratively with Retail branch staff to ensure quality referrals of customers for M & T Securities products. - Understand and adhere to the Companys risk and regulatory standards, policies and controls in accordance with the Companys Risk Appetite. Identify risk-related issues needing escalation to management. - Promote an environment that supports diversity and reflects the M & T Bank brand. - Maintain M & T internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators as applicable. - Complete other related duties as assigned. - Scope of Responsibilities: M & T Securities is a Broker Dealer that provides investments, brokerage and insurance solutions across the Wealth continuum. This position works under the guidance of a more experienced Advisor to deliver individualized needs-based investment and insurance solutions to clients, primarily in the mass affluent segment of less than $3 mm in investible assets. This position spends the majority of time growing the business through proactive sales activities driven first from an individualized analysis of each customers needs, and then recommending the products best suited to meet those individualized needs. As such, the position must stay current on operational, product, and system changes/enhancements, as well as demonstrate good risk management decisions to assist in managing client complaints and preventable losses. Supervisory/Managerial Responsibilities: Education and Experience Required: Associates degree and a minimum of 3 years previous sales, sales administration or retail banking experience, or in lieu of a degree a combined minimum of 5 years higher education and/or work experience, including a minimum of 3 years previous sales, sales administration or retail banking experience FINRA Series 6 or Series 7 and Series 63 licenses Pertinent state Life/Variable Insurance (LAH) licenses Education and Experience Preferred: FINRA Series 7 license FINRA Series 65 or 66 licenses as appropriate Physical Requirements: N/A Location Leesburg, Virginia, United States of America

Keywords: M&T Bank, Leesburg , Associate Financial Advisor, Accounting, Auditing , Leesburg, Virginia

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