Senior Financial Advisor, Vice President - Northgate - UnionBanc Investment Services

Union Bank • San Rafael, CA 94901

Posted 2 weeks ago

Job Description

Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 5th largest financial group in the world (as ranked by S&P Global, April 2018) with total assets of over $2.9 trillion (106.2 (JPY) as of March 30, 2018) and 150,000 colleagues in more than 50 countries. In the U.S., were 13,000 strong, working together to positively impact every customer, organization, and community we serve. At Union Bank, we aim to be the premier and most-trusted West Coast bank, serving customers with high-touch, local delivery and global capabilities as we leverage our rich, 150-year history. This is all part of our inclusive, high-performing culture supported by competitive Total Rewards, including our cash balance pension plan. Join a team thats working to fulfill its vision to be the worlds most trusted financial group. Job Summary: Responsible for the advising, selling and servicing of UnionBanc Investment Services products and services. Major Responsibilities: Profiles clients by obtaining financial information and suitability information. Advises on the customized investment needs. Assesses client investment needs and goals, reviews existing investment portfolios /allocations and develops plan to meet the client needs. Advices to customers on a wide range of comprehensive investment products that include; stocks, bonds, options, mutual funds, securities, annuities, insurance products, etc. Interprets financials market information on pricing, PE information, volume trends, etc and other updates. Follow ups with client contact to close the sales. Requires extensive financial analysis review of the client's financial statements and assessment of suitability of investment products. Responsible for new sales generation thru referral activities. Maintains existing relationship with clients in order to manage future investment needs. Conducts marketing campaigns and business development functions, such as seminars and client appreciation events. Responsible for expanding customer relationships. Works with assigned branches to enhance the overall banking relations and Bank wide products offered to customers Responsible for all administrative compliance activities. Completes and maintains all required paperwork associated with the sales and maintenance of client accounts. This includes suitability update forms, account applications, acknowledgement forms, and any other required compliance paperwork depending on business done. All sales must be documented and paperwork provided must be able to support all recommendations and suitability requirements. Paperwork must be sent in for master files and individual files must be maintained at the branches for auditing purposes and follow-up. Each branch office must be maintained by reps to satisfy regulatory requirements. Working space and literature must adhere to compliance requirements and be kept updated accordingly. Required Licenses: FINRA Series 7, 66 (or S-63 and 65) & respective State Life Insurance License. Generally requires a minimum of 3 years of proven investment sales experience. Requires the ability to maintain a book of clients. Requires developed verbal and written communications and interpersonal skills. Must show success in soliciting new relationships and customers. The above statements are intended to describe the general nature and level of the work being performed. They are not intended to be construed as an exhaustive list of all responsibilities, duties, and skills required of personnel so classified . We are proud to be an Equal Opportunity / Affirmative Action Employer and committed to leveraging the diverse backgrounds, perspectives, and experience of our workforce to create opportunities for our colleagues and our business. We do not discriminate in employment decisions on the basis of any protected category. A conviction is not an absolute bar to employment. Factors such as the age of the offense, evidence of rehabilitation, seriousness of violation, and job relatedness are considered in all employment decisions. Additionally, its the banks policy to only inquire into a candidates criminal history after an offer has been made. Federal law prohibits banks from employing individuals who have been convicted of, or received a pretrial diversion for, certain offenses.


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