Financial Consultant Job Description template and pdf with duties [2024]

Job summary 1

We are currently seeking a Full-Time Financial Consultant to join our Branch. As a Financial Consultant, you will be a trusted financial resource to existing and potential members by utilizing a consultative approach to evaluate, educate and fulfill members’ financial needs. You will show Adaptability and knowledge regarding all functions and processes of both the teller and platform operations. You will identify opportunities to refer members to business services, mortgage services, home equity lending, and investment services as needed.

Duties & Responsibilities 1

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Responsible for providing world-class service, educating, informing, and offering solutions to meet all member's financial needs.
Process member transactions, problem resolution, opening and closing accounts, loan applications, and the promotion and cross-sales of all products and services available.

Requirements & Skills 1

Three to Five years of direct member contact experience in providing financial products and services, at least six months of teller experience, and familiarity with platform operations preferred.
High School Diploma or equivalent.
Knowledge of Teller and Platform operations.
Exceptional service delivery ability.
Accuracy in numbers, procedural detail, processing, and balancing negotiable instruments.
- Experience in multi-tasking, dealing with sensitive information, and problem resolution while providing exceptional service.
- Must be knowledgeable in Microsoft Office and all internal systems affiliated with the department.
- Ability to adapt quickly to change and effectively communicate with colleagues and members using appropriate resources.

Job summary 2

The Financial Consultant is a position that provides counseling for all participants, new entrants, prospects, beneficiaries, and their legal and financial representatives on the complete spectrum of Company products and services. As a part of the Company's Investment Advisory Center, this job covers institutions aligned to regional structures and offers financial planning advice via phone and video chat to help clients accomplish their immediate and long-term financial goals.

Duties & Responsibilities 2

Counsels participants on their pension plans, tax-deferred annuities, and other available investment options to help clients retain and increase assets.
Educates, recommends, and facilitates new product purchases (including retail mutual funds, annuities, IRAs, 529 and 403b, bank products, life insurance, and others) and provides authoritative information upon which important personal financial planning decisions are based.
- Interacts with retirement plan participants to provide exceptional customer service and execute transaction and service requests.
- Utilizes knowledge of tax and investment strategies to inform financial advice based on clients' financial needs and objectives.
- Develops and maintains strong relationship with Institutional Plan Sponsors.

Requirements & Skills 2

University (Degree) Preferred
- 3+ Years Required; 5+ Years Preferred
- FINRA Registrations
- SRC Indicator: Series 7; Series 63

Job summary 3

We are currently seeking a Financial Consultant to join our team. As a Financial Consultant, you will be a trusted financial resource to existing and potential members by utilizing a consultative approach to evaluate, educate and fulfill members’ financial needs. You will show Adaptability and knowledge regarding all functions and processes of both the teller and platform operations. You will identify opportunities to refer members to business services, mortgage services, home equity lending, and investment services as needed.

Duties & Responsibilities 3

Responsible for providing world-class service, educating, informing, and offering solutions to meet all member's financial needs.
Process member transactions, problem resolution, opening and closing accounts, loan applications, and the promotion and cross-sales of all products and services available.

Requirements & Skills 3

Three to Five years of direct member contact experience in providing financial products and services, at least six months of teller experience, and familiarity with platform operations preferred.
High School Diploma or equivalent
Exceptional service delivery ability.
Accuracy in numbers, procedural detail, processing, and balancing negotiable instruments.
- Experience in multi-tasking, dealing with sensitive information, and problem resolution while providing exceptional service.
- Must be knowledgeable in Microsoft Office and all internal systems affiliated with the department.
- Ability to adapt quickly to change and effectively communicate with colleagues and members using appropriate resources.

Job summary 4

Financial Consultant is responsible for performing standard origination duties and meeting overall production goals as a part of the Inside Sales effort. The focus of a Financial Consultant is to convert company-assigned leads (both Refinance and Purchase transactions) via Velocify into closed businesses. All lead and origination activity must be tracked and documented in Velocify.

Duties & Responsibilities 4

Work closely with Sales Management to meet individual production, pull thru, and turn time goals.
Stays current on Investor & underwriting guidelines, processing procedures and company policies.
Maintain high levels of customer service throughout the origination process.
Maintain quality and compliance standards on individual origination pipelines.
- Participate in all required company meetings.
- Meets monthly and annual personal production and performance goals set forth by management.
- Track and document all lead actions in Velocify.

Requirements & Skills 4

Job summary 5

We are seeking a Financial Consultant for our office. The primary responsibilities of this role are to meet with new and existing customers and make suitable investment and financial planning recommendations. Products recommended may include mutual funds, fixed annuities, variable annuities, unit trusts, REITs, investment management accounts, and individual securities. The Incumbent will be expected to maintain a clean compliance record and perform all duties by establishing policies, procedures, and objectives of the department and the bank.

Duties & Responsibilities 5

Achieve sales goals through following up on bank-originated referrals, working the existing book of business, and active prospecting outside the bank.
Strengthen bank customer relationships through cross-selling and providing quality service.
Develop a network of Centers of Influence (COIs)) contact and referrals.
Provide comprehensive in-branch training for bank personnel.
Mentor Licensed Branch Employees in assigned territory.
- Consult regularly with Trust Officer in the assigned territory on business development issues and opportunities.
- Complete all necessary continuing education.
- Run business in full compliance with the regulations of the FINRA, SEC, FDIC, and other applicable regulatory agencies.

Requirements & Skills 5

Bachelor's degree and a minimum of 3 years of work experience, 2 of which are in a sales or marketing role within the financial services industry.
Securities licenses series 6 and 63 are required at a minimum. Series 7 is required within 6 months of hire; RIA (series 65/66) is strongly encouraged. Insurance producer license required: life, accident & health.

Job summary 6

The Financial Consultant must be able to successfully sell non-deposit investment products within a bank environment. The Candidate is expected to meet production goals which will be reviewed on a monthly and ongoing basis. The position requires a person who is highly motivated and sales driven. Candidate must be service oriented and able to work well with branch employees and bank customers.

Duties & Responsibilities 6

Support the Branch Manager by overseeing the efficient operation of the branch, ensuring operational functions are being properly performed by staff by established policies, procedures, and controls of the Bank.
Meet or exceed sales goals, conduct branch sales meetings, conduct training of branch employees, meet daily with potential customers, establish and maintain high standards of customer service and be able to communicate investment concepts.
Attend ongoing sales and product training and maintain active working relationships with branch personnel.

Requirements & Skills 6

High School Diploma or GED required; Bachelor’s degree preferred.
Must possess current Life, Accident & Health license, Finra Series 6 or 7, 65, 63.
Minimum two years of sales experience as a financial consultant, banking experience preferred, excellent time management and communication skills required, self-motivated with the ability to work independently.

Job summary 7

A Financial Consultant acts as a dedicated representative assigned to a specific branch (or multiple branches) to deliver Non-Deposit Investment Products (NDIPs) and services to the branch customers and prospective customer base. 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 a retail client base designed to meet the individualized needs of each customer. Establish a strong partnership with Retail Branch Managers and Centers of Influence and maintain strong working relationships with all assigned Branches.

Duties & Responsibilities 7

Utilizing a consultative, holistic approach, sales process, and assessment tools where appropriate.
Providing comprehensive, needs-based financial solutions to clients by offering a range of investment/insurance solutions
Delivering needs-based, comprehensive financial solutions by offering a suitable and diversified set of brokerage, advisory, and insurance solutions to meet client needs and objectives.
Employing ethical business practices to ensure full compliance with regulatory, broker-dealer, and institution requirements
- Delivering a high-quality customer service experience during each customer interaction
- Building strong relationships with retail branch staff, supporting and motivating their referral efforts. Developing a complete understanding of the core institution products to support cross-selling opportunities and to generate referrals back to the institution where appropriate
- Meet or exceed established sales goals for assigned territory while ensuring compliance with policies, procedures, and regulations governing products and services.

Requirements & Skills 7

Job summary 8

As a Financial Consultant, you will collaborate with our current clients while simultaneously developing new relationships across various client types (such as high-net-worth individuals, Endowments & Foundations, businesses, and qualified plans). You will work closely with clients to determine their investment objectives while working with our Investment and Advisory teams to utilize an investment solution that is tailored to their financial goals. This is a consultative sales role with an expectation to promote our advisory capabilities and investment solutions to grow our client base over time.

Duties & Responsibilities 8

Requirements & Skills 8

Bachelor’s degree or higher
5+ years’ relevant experience
Series 6, 63, & 65 or Series 7 & 66 required or willing to pursue upon hire
- Certified Financial PlannerTM or comparable professional designation preferred, or the willingness to pursue a comparable designation
- Experience with Salesforce.com, Sales Navigator, and LinkedIn is preferred
- A proven record of achieving new business a plus

Job summary 9

The Financial Consultant is responsible for providing Bank customers with specialist advice on how to manage their finances, by researching the marketplace and recommending the most appropriate products and services available, ensuring the clients are aware of and understand products that best meet their needs and then making a recommendation.

Duties & Responsibilities 9

Requirements & Skills 9

High school graduate or equivalent. Bachelor’s degree preferred. Series 6 or 7, 65 or 66, and a life and health license are required.
Five or more years of experience in a related field with at least three years of investment experience.
Significant knowledge of personal financial plan methods. Thorough knowledge of the financial industry products and services.
Excellent verbal and written communication skills.
- Excellent time-management skills.
- Ability to develop relationships with referral sources
- Ability to portray a professional image and be comfortable in front of clients

Job summary 10

The Financial Consultant is responsible for identifying needs, understanding client objectives, and making appropriate investment/insurance recommendations consistent with compliance standards to achieve sales results and long-term client satisfaction.

Duties & Responsibilities 10

Achieve and exceed both individual and branch-related sales and revenue goals as defined every quarter
When appropriate, provide leads to branch personnel for the sale of other bank products and services such as deposit accounts and loans.
Attend and actively participate in sales meetings, training initiatives, and planning sessions related to the development and growth of the program
Develop and execute quarterly business development plans by sales management's objectives surrounding the marketing and promotion of investment products and services
Maintain records, master operational procedures and provide sales and activity reports per management's request in a timely and efficient manner.
Create strong internal and external relationships to develop referral sources and meet appointment objectives
- Maintain required professional training and license requirements, including knowledge of FINRA compliance, FDIC compliance, the Bank's uninsured Products Policy Statement, and all applicable state and federal regulations
- Provide active mentoring and coaching to all Licensed Bank Employees (LBEs) assigned within your branch territory
- Hold frequent client appointments, seminars, and branch training sessions to secure long-term client relationships and provide sales leadership to internal business partners regarding investment and insurance products

Requirements & Skills 10

Bachelor's Degree or Equivalent
Experience providing investment guidance and advice to clients.
Must be able to demonstrate a superior record of sales achievement while maintaining high ethical standards.
- Degrees such as an MBA, CFP, CHLU, or CHFC are preferred.
- Experience: Between 3 - 5 years
- Licenses/Certifications: FINRA licenses 7 and 66, or 7 and 63 and 65 as well as appropriate state insurance licenses required.

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Financial Consultant Job Description

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