Financial Advisor Trainee

Financial Advisor Trainee

Requirements

• Bachelor’s: Accounting
• Bachelor’s: Business Administration
• Bachelor’s: Finance
• Securities Industry Essentials Exam (SIE) – Financial Industry Regulatory Authority (FINRA)

Responsibilities

• Use established systems to analyze customer needs and define and deliver financial products.
• Track progress against budgets within established finance systems, and report variances to more senior colleagues.
• Develop and implement a customer contact plan to communicate product launches and engage the customers in relevant sales campaigns.
• Act as first point of contact for customer queries and complaints and resolve them, referring complex issues to others and ensuring that the customer receives an appropriate response.
• Identify potential customers by obtaining information, referrals, and recommendations from existing customers and other contacts and/or through participation in trade shows and conferences.
• Develop own capabilities by participating in assessment and development planning activities as well as formal and informal training and coaching; gain or maintain external professional accreditation, where relevant, to improve performance and fulfill personal potential.
• Maintain an understanding of relevant technology, external regulation, and industry best practices through ongoing education, attending conferences, and reading specialist media.
• Collate and analyze data using preset tools, methods, and formats. Involves working independently.
• Interpret data and identify possible answers. Involves navigating a wide variety of processes, procedures, and precedents.
• Deliver small project workstreams, carrying out specified project activities within defined time and quality parameters and ensuring adherence to the prescribed project management methodology.
• Develop knowledge and understanding of the organization’s policies and procedures and of relevant regulatory codes and codes of conduct to ensure own work adheres to those standards.
• Obtain authorization from a supervisor or manager for any exceptions from mandatory procedure.
• Implement improvements and provide feedback on them. Use change management systems and protocols to provide routine support services.

Preferred Qualifications

No preferred qualifications provided.