The Wealth Relationship Mgmt. (Branch) Sr. Analyst SAFE Act is a seasoned professional role. Applies in-depth disciplinary knowledge, contributing to the development of new techniques and the improvement of processes and work-flow for the area or function. Integrates subject matter and industry expertise within a defined area. Requires in-depth understanding of how areas collectively integrate within the sub-function as well as coordinate and contribute to the objectives of the function and overall business.
- Acquire new clients through converting referral leads.
- Manage client follow-up and adhere to all Regulatory and Compliance operating procedures
- Master referral opportunities to grow portfolio.
- Proactively source, acquire and expand high value customer relationship by maximizing sale and service opportunities.
- Identify, build and deepen relationships to gain incremental wallet share of the affluent and High Net Worth segment through the use of financial planning and excellent discovery and profiling skills.
- Anticipate the complex financial needs of the client and offer solutions through a wide range of products, services and tools based on client profiling and suitability assessments.
- Partner with all roles on branch team to ensure all clients have a positive in-branch experience
- Depending on business model: Make securities recommendations and provide investment advice to clients through a select number of solutions using firm models & research.
- With the support of product specialists, intuitively recognize and understand a client’s banking, credit and investment needs and goals in order to provide holistic financial solutions.
- Provide regular value-added engagement with clients- High touch, face-to-face meetings at client’s preferred location, consistent communication, access to seminars, etc.
- Ensure that KYC/AML and other compliance norms are strictly adhered to
- Adhere to a specific prospecting code of conduct, which (1) permits acquiring new private client accounts only by referral or personal contact with an individual seeking to do business and (2) prohibits seminars, mail campaigns, cold calling and any other methods of solicitation.
- Refer opportunities to segment partners where appropriate (including, but not limited to Lending Consultants and Financial Advisor, Small Business Partners, Relationship Manager, etc.)
- Organize client events to enhance client bonding.
- Strong verbal and written communication skills
- Organized with strong attention to detail
- Knowledge of Microsoft Office (Excel, Outlook, and Word) and experience using NaviPlan Select or similar financial planning software preferred
- Basic understanding of investment and financial planning strategies preferred
- 5-8 years of experience
- Strong analytical and financial skills
- Bachelor’s/University degree or equivalent experience
- Must be a self-starter, problem solver and a goal-oriented team player able to work without direction
- US: Registered FINRA Series 7. In addition, Series 66 (or Series 63 and 65) is required for CGMI.
Vacancy Type: Full Time
Job Location: Rancho Cucamonga, CA, US
Application Deadline: N/A