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Financial advisor job description sample

This financial advisor job description sample can assist in your creating a listing that will attract the top qualified candidates for your position. Feel free to revise this job description to meet your specific duties and requirements. You can also browse Monster’s financial advisor job listings to find more ideas for crafting the best listing.

Financial Advisor

[Intro paragraph] You’ll want to begin your job description by introducing prospective advisors to your company and highlighting what makes working in your office unique. Take a few short sentences to really set your company apart from competing job listings and sell yourself to job seekers.

Financial Advisor Job Responsibilities:

  • Serves as an advisor to provide an advice-based approach to financial solutions for an assigned book of business.
  • Actively solicits new and existing investments and insurance solutions from mass affluent customer segment, primarily Retail and Business Banking.
  • Based on individualized needs analysis, prepares recommendations for customized financial solutions to current and potential customers.
  • Profiles customers and deliver recommendations to ensure these needs are met.
  • Uses sales tools and modules to conduct the analysis and offer the best advice and products and customer understanding of solutions.
  • Delivers a diversified set of brokerage, investment and insurance and advice-based solutions with a financial planning mindset to meet the individualized investment needs of current and potential customers.
  • Increases assets under management by offering investment and insurance solutions to clients and leveraging partnerships in Retail, Business Banking and Wealth to increase referrals.
  • Provides financial planning services by advising the customer on the advantages and disadvantages of different product decisions in alignment with their individual needs.
  • Meets or exceeds established sales goals for assigned market, while meeting individual client needs and complying with pertinent policies and regulations.
  • Maintains and builds referral channel and develop strong partnerships to ensure investment needs of current and potential customers in assigned Market and/or branches are met or exceeded.
  • Regularly reviews customer information to ensure compliance with BSA (Bank Secrecy Act), AML (Anti-Money Laundering), and KYC (Know Your Customer) requirements to protect bank interests.
  • Understands and adheres to the company’s risk and regulatory standards, policies, and controls. Maintains internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators as applicable.
  • Completes other related duties as assigned.

[Work Hours & Benefits] This is the perfect place to talk about the working hours and benefits specific to your company. You’ll want to tell financial advisors about work from home and support staff options, and you can also take this opportunity to focus on the benefits that set your firm apart, such as stock and ownership options, paid parental leave, or corporate travel accounts.

Financial Advisor Qualifications / Skills:

  • Sales and Customer Service
  • Personal Finance
  • Reporting Skills
  • Attention to Detail
  • Deadline-Oriented
  • Reporting Research Results
  • Confidentiality
  • Time Management
  • Data Entry Management
  • General Math Skills

Education, Experience, and Licensing Requirements:

  • Bachelor’s or master’s degree in finance or related field preferred
  • Combined minimum of 6 years’ higher education and/or work experience, including a minimum of 4 years’ investment or insurance sales experience required
  • FINRA Series 7, 63 and 65 or 66 licenses
  • Pertinent state Life/Variable Insurance (LAH) licenses
  • Previous trust/fiduciary product, financial planning, managed accounts, or insurance experience preferred
  • CFP (Certified Financial Planner), CLU (Chartered Life Underwriter) and/or ChFC (Chartered Financial Consultant) designation

[Call to Action] Here is where the most effective financial advisor job descriptions include a strong call to action, turning job seekers into actual applicants. Let prospective advisors know exactly how to apply, whether it’s clicking the “apply” button on this posting or submitting an application and resume to someone at your company.

 

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