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Financial Advisor
•2 days ago
| Estimated Pay | $50 per hour |
|---|---|
| Hours | Full-time, Part-time |
| Location | Milpitas, California |
Compare Pay
Estimated Pay We estimate that this job pays $49.92 per hour based on our data.
$23.98
$49.92
$93.5
About this job
Job Description
Job Description
Position Overview
The Financial Advisor, reporting to the Manager of Investment Services, has the opportunity to be part of a new offering within our Wealth Management Department. Within a specific geographic region, the Financial Advisor is responsible for managing client advisory needs for the Bank. Externally, the Financial Advisor serves as a trusted advisor and client advocate and maintains detailed and current knowledge of client relationships. The Financial Advisor is expected to build a strong working relationship externally with clients as well as internally across various investment channels and bank teams.
Role and Responsibilities
• Solving client investment needs, which include investment constraints, liquidity needs, future financing scenarios, investment policy compliance, and various market related events and potential impacts to the clients/portfolios.
• Ensuring compliance with clients investment objectives and constraints, directing investment policy, monitoring portfolio activities (i.e.: making strategic and tactical recommendations for portfolio rebalancing, researching client inquiries, and overseeing market opportunities and risks), and developing solutions to fulfill clients’ overall financial picture.
• Maintain proper compliance and audit procedures with regards to internal protocols.
• Review written agreements to ensure Bank’s responsibilities, authority and potential liabilities are in compliance within established policies and procedure.
• Maintaining and growing an assigned practice of high-net worth bank clients.
• Developing, implementing and ongoing monitoring of investment goals and objectives, preferences and risk tolerance.
• Constructing and delivering customized portfolio advice with specific investment recommendations through scheduled and proactive outreach to clients.
• Track and monitor client portfolios to ensure full compliance and investment objectives are met.
• Use of client relationship management software to enable seamless client interactions.
• Use of Financial Planning software designed for customized client focused portfolio solutions.
• Accept assets in a manner that complies with operational control procedures of the company; review all assets to ensure compliance all policies and procedures.
• Participate in continuing education such as personal research, training, joint calling, peer interaction and individual coaching sessions as required to consistently upgrade individual market knowledge and sales skills.
• Continually review research materials and financial news for areas of opportunity and concern.
• Use current information along with prior knowledge and experience to determine the most appropriate solutions for each client.
• Cultivate and maintain good working relationships with the community, industry, individuals and professional groups for ongoing business, including: attorneys, certified public accountants, life underwriters and other private clients.
• Develops and encourages long term client relationships by careful planning to meet clients immediate and future needs by providing and demonstrating solid financial planning skills and client centered advice and guidance interactions.
• Maintain proper compliance and audit procedures with regards to internal protocols. Review written agreements to ensure Bank’s responsibilities, authority and potential liabilities are in compliance within established policies and procedures.
Minimum Qualifications
• Bachelor’s Degree or equivalent preferred
• 3-5 years’ financial advisory experience
• Must be able to lead client discussions in a fiduciary capacity
• Must have (at a minimum) a series 7, 65 or 66 securities license
• Must have a California Life and Health insurance license
• Must be approachable, flexible, dependable, and conscientiousness about working in a performance culture
• Must be knowledgeable and stay abreast of changes to any of the investment products provided to our client
#1067
AppleOne is proud to be an Equal Opportunity Employer. We believe in people, and we are committed to working with people of all backgrounds and connecting them with clients and companies who share our goals of diversity and inclusiveness. All qualified applicants will receive consideration for employment without regard to race, religion, ancestry, color, national origin, age, gender identity or expression, genetic information, marital status, medical condition, disability, protected veteran status, sex (including pregnancy), sexual orientation, or any other characteristic protected by applicable federal, state, or local laws.
The Know Your Rights poster is available here:
https://www.eeoc.gov/sites/default/files/2023-06/22-088_EEOC_KnowYourRights6.12.pdf
The pay transparency policy is available here:
https://www.dol.gov/sites/dolgov/files/ofccp/pdf/pay-transp_%20English_formattedESQA508c.pdf
For temporary assignments lasting 13 weeks or longer, the Company is pleased to offer major medical, dental, vision, 401k and any statutory sick pay where required.
We are committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation for any part of the employment process, please contact your staffing representative who will reach out to our HR team.
AppleOne participates in the E-Verify program in certain locations as required by law. Learn more about the E-Verify program.
https://e-verify.uscis.gov/web/media/resourcesContents/E-Verify_Participation_Poster_ES.pdf
Company DescriptionThe Financial Advisor, reporting to the Manager of Investment Services, has the opportunity to be part of a new offering within our Wealth Management Department. Within a specific geographic region, the Financial Advisor is responsible for managing client advisory needs for the Bank. Externally, the Financial Advisor serves as a trusted advisor and client advocate and maintains detailed and current knowledge of client relationships. The Financial Advisor is expected to build a strong working relationship externally with clients as well as internally across various investment channels and bank teams.
Role and Responsibilities
• Solving client investment needs, which include investment constraints, liquidity needs, future financing scenarios, investment policy compliance, and various market related events and potential impacts to the clients/portfolios.
• Ensuring compliance with clients investment objectives and constraints, directing investment policy, monitoring portfolio activities (i.e.: making strategic and tactical recommendations for portfolio rebalancing, researching client inquiries, and overseeing market opportunities and risks), and developing solutions to fulfill clients’ overall financial picture.
• Maintain proper compliance and audit procedures with regards to internal protocols.
• Review written agreements to ensure Bank’s responsibilities, authority and potential liabilities are in compliance within established policies and procedure.
• Maintaining and growing an assigned practice of high-net worth bank clients.
• Developing, implementing and ongoing monitoring of investment goals and objectives, preferences and risk tolerance.
• Constructing and delivering customized portfolio advice with specific investment recommendations through scheduled and proactive outreach to clients.
• Track and monitor client portfolios to ensure full compliance and investment objectives are met.
• Use of client relationship management software to enable seamless client interactions.
• Use of Financial Planning software designed for customized client focused portfolio solutions.
• Accept assets in a manner that complies with operational control procedures of the company; review all assets to ensure compliance all policies and procedures.
• Participate in continuing education such as personal research, training, joint calling, peer interaction and individual coaching sessions as required to consistently upgrade individual market knowledge and sales skills.
• Continually review research materials and financial news for areas of opportunity and concern.
• Use current information along with prior knowledge and experience to determine the most appropriate solutions for each client.
• Cultivate and maintain good working relationships with the community, industry, individuals and professional groups for ongoing business, including: attorneys, certified public accountants, life underwriters and other private clients.
• Develops and encourages long term client relationships by careful planning to meet clients immediate and future needs by providing and demonstrating solid financial planning skills and client centered advice and guidance interactions.
• Maintain proper compliance and audit procedures with regards to internal protocols. Review written agreements to ensure Bank’s responsibilities, authority and potential liabilities are in compliance within established policies and procedures.
Minimum Qualifications
• Bachelor’s Degree or equivalent preferred
• 3-5 years’ financial advisory experience
• Must be able to lead client discussions in a fiduciary capacity
• Must have (at a minimum) a series 7, 65 or 66 securities license
• Must have a California Life and Health insurance license
• Must be approachable, flexible, dependable, and conscientiousness about working in a performance culture
• Must be knowledgeable and stay abreast of changes to any of the investment products provided to our client
#1067
AppleOne is proud to be an Equal Opportunity Employer. We believe in people, and we are committed to working with people of all backgrounds and connecting them with clients and companies who share our goals of diversity and inclusiveness. All qualified applicants will receive consideration for employment without regard to race, religion, ancestry, color, national origin, age, gender identity or expression, genetic information, marital status, medical condition, disability, protected veteran status, sex (including pregnancy), sexual orientation, or any other characteristic protected by applicable federal, state, or local laws.
The Know Your Rights poster is available here:
https://www.eeoc.gov/sites/default/files/2023-06/22-088_EEOC_KnowYourRights6.12.pdf
The pay transparency policy is available here:
https://www.dol.gov/sites/dolgov/files/ofccp/pdf/pay-transp_%20English_formattedESQA508c.pdf
For temporary assignments lasting 13 weeks or longer, the Company is pleased to offer major medical, dental, vision, 401k and any statutory sick pay where required.
We are committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation for any part of the employment process, please contact your staffing representative who will reach out to our HR team.
AppleOne participates in the E-Verify program in certain locations as required by law. Learn more about the E-Verify program.
https://e-verify.uscis.gov/web/media/resourcesContents/E-Verify_Participation_Poster_ES.pdf
Founder and CEO, Janice Bryant Howroyd, is a North Carolina native who left her hometown in 1976 armed with $1500. Since then, she has dedicated her efforts to building an organization that is committed to keeping the humanity in Human Resources and Strategic, Inclusive Procurement.
Mrs. Howroyd’s commitment to excellence has grown ActOne Group to 33 countries, with over 17,000 clients and more than 2,800 employees. The largest woman-minority-owned workforce management company founded in the US, ActOne Group professionals bring expertise in delivering corporate HR initiatives to local and global markets.
Mrs. Howroyd was selected by former President Barack Obama to serve as a White House appointee and continues to serve under the current administration as an Ambassador of Energy. Mrs. Howroyd gives generously through funding and advocacy for STEM education, particularly for women and minorities.
Mrs. Howroyd leads her teams to build business success based on the ability to connect great companies with outstanding talent. Her passion for education, mentorship, and self-empowerment initiatives have earned her many professional and philanthropic recognitions. She is a sought–after speaker and media subject matter expert in her fields. Her book, The Art of Work: How to Make Work, Work for You, is available on Amazon.com.
Mrs. Howroyd’s commitment to excellence has grown ActOne Group to 33 countries, with over 17,000 clients and more than 2,800 employees. The largest woman-minority-owned workforce management company founded in the US, ActOne Group professionals bring expertise in delivering corporate HR initiatives to local and global markets.
Mrs. Howroyd was selected by former President Barack Obama to serve as a White House appointee and continues to serve under the current administration as an Ambassador of Energy. Mrs. Howroyd gives generously through funding and advocacy for STEM education, particularly for women and minorities.
Mrs. Howroyd leads her teams to build business success based on the ability to connect great companies with outstanding talent. Her passion for education, mentorship, and self-empowerment initiatives have earned her many professional and philanthropic recognitions. She is a sought–after speaker and media subject matter expert in her fields. Her book, The Art of Work: How to Make Work, Work for You, is available on Amazon.com.
Company Description
Founder and CEO, Janice Bryant Howroyd, is a North Carolina native who left her hometown in 1976 armed with $1500. Since then, she has dedicated her efforts to building an organization that is committed to keeping the humanity in Human Resources and Strategic, Inclusive Procurement.\r\n\r\nMrs. Howroyd’s commitment to excellence has grown ActOne Group to 33 countries, with over 17,000 clients and more than 2,800 employees. The largest woman-minority-owned workforce management company founded in the US, ActOne Group professionals bring expertise in delivering corporate HR initiatives to local and global markets.\r\n\r\nMrs. Howroyd was selected by former President Barack Obama to serve as a White House appointee and continues to serve under the current administration as an Ambassador of Energy. Mrs. Howroyd gives generously through funding and advocacy for STEM education, particularly for women and minorities.\r\n\r\nMrs. Howroyd leads her teams to build business success based on the ability to connect great companies with outstanding talent. Her passion for education, mentorship, and self-empowerment initiatives have earned her many professional and philanthropic recognitions. She is a sought–after speaker and media subject matter expert in her fields. Her book, The Art of Work: How to Make Work, Work for You, is available on Amazon.com.
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