What are the responsibilities and job description for the Investment Advisor Representative position at Claremont Savings Bank?
Job Description
Job title: Investment Advisor Representative
Department: Claremont Financial Services
Date Revised: January 2025
Reports to: SVP, Investment Advisor Representative
FLSA Classification: Exempt II
General Position Summary And Purpose
As an Investment Advisor Representative with Claremont Financial Services, works one-on-one with clients to distribute investment products and advice and to develop individually tailored financial plans. Provides ongoing assistance through services that help clients accumulate wealth and safeguard their assets. Acquires and deepens relationships with clients by providing comprehensive financial planning and advice to help individuals pursue their financial goals.
Career Competencies
Builds Networks
Customer Focused
Collaborates
Drives Results
Global Perspective
Instills Trust
Organizational Savvy
Manages Complexity
Action Oriented
Plans & Aligns
Self-Development
Situational Adaptability
Essential Duties And Responsibilities
Meets with clients for the purpose of providing advice on products or services that enhance their financial well-being. Conducts client review on at least an annual basis.
Actively calls on existing clients and targeted prospects to deepen relationships and develop new business. Conducts productive networking and prospecting in the community. Participates with community organizations and in community projects.
Creates, monitors and implements, and updates comprehensive financial and investment plans to help meet client objectives. Monitors client portfolios and makes recommendations that are consistent with changes in the economy and financial markets.
Stays up-to-date with new investment products and market trends. Reads and applies a variety of trade, vendor and/or regulatory publication to keep informed about the market place (i.e. latest products, services, regulations, etc.)
Prepares and delivers clear, effective, and professional presentations.
Works in compliance with industry and broker/dealer procedures and regulations.
Ensures client information is up-to-date and complete utilizing broker dealer’s CRM Software.
Stays informed on market trends and completes all courses needed to maintain licenses and/or other certifications as required by outlined by SEC and broker/dealer.
Meets or exceeds production, service and profit goals.
Other Duties And Responsibilities
Participates in referral program, if appropriate, for Bank products
Other duties as assigned by manager
Supervisory Responsibility
None
Professional Relations
Works professionally with all employees, customers, vendors, and/or the general public to achieve goals and objectives of Claremont Savings Bank’s vision, mission, and values.
Enhances the Bank’s image by providing representation and involvement in community activities and charitable, civic and social organizations.
Education/Certification
Four-year college degree
Life and Variable Annuity license or ability to obtain license within 3 months of employment
Valid Series 7
Valid Series 65 or 66
Clean CRD/U4 Record
Required Experience/Required Knowledge
Minimum of 3 years sales experience in the business industry
Strong working knowledge of economic and accounting principles as well as the financial markets
Ability to read, analyze, and interpret general business periodicals, professional journals, technical procedures, or governmental regulations
Ability to effectively present information and respond to questions from groups of managers, clients, customers, and the general public
Ability to write reports and business correspondence in a professional manner
Three Years Prior Financial Advisor Experience Preferred
Possess superb verbal and customer service skills
Possess a valid driver’s license with clean driving record
Skills/Abilities
Working knowledge of technology and software planning tools sufficient to analyze and report financial data
Ability to interview, recommend, and close on sales of financial products
Proficiency with Microsoft Office Suite
Effective listening and questioning techniques
Excellent work ethic
Working Conditions And Physical Requirements
Moderate physical effort required; normally seated with the freedom of movement on a regular basis; some lifting of light materials and supplies. Work involves a mixture of walking, sitting, and/or standing. Well-lighted and ventilated office environment, which are generally pleasant and comfortable. Minimal exposure to injury or other hazards with moderate level of noise.
Claremont Savings Bank reserves the right to change the job duties as business requirements dictate. The employee will be expected to perform other reasonably related duties as may be required by Management.
Every employee works for Claremont Savings Bank, not just for a particular manager. Accordingly, employees are expected to act in the best interests of the Bank, even if doing so requires actions and responsibilities not listed in the above job description.
Job descriptions are not intended as and do not create employment contracts. The Bank maintains its status as an at-will employer.
Approval: See Electronic Signature in ADP WorkforceNow
Job title: Investment Advisor Representative
Department: Claremont Financial Services
Date Revised: January 2025
Reports to: SVP, Investment Advisor Representative
FLSA Classification: Exempt II
General Position Summary And Purpose
As an Investment Advisor Representative with Claremont Financial Services, works one-on-one with clients to distribute investment products and advice and to develop individually tailored financial plans. Provides ongoing assistance through services that help clients accumulate wealth and safeguard their assets. Acquires and deepens relationships with clients by providing comprehensive financial planning and advice to help individuals pursue their financial goals.
Career Competencies
Builds Networks
Customer Focused
Collaborates
Drives Results
Global Perspective
Instills Trust
Organizational Savvy
Manages Complexity
Action Oriented
Plans & Aligns
Self-Development
Situational Adaptability
Essential Duties And Responsibilities
Meets with clients for the purpose of providing advice on products or services that enhance their financial well-being. Conducts client review on at least an annual basis.
Actively calls on existing clients and targeted prospects to deepen relationships and develop new business. Conducts productive networking and prospecting in the community. Participates with community organizations and in community projects.
Creates, monitors and implements, and updates comprehensive financial and investment plans to help meet client objectives. Monitors client portfolios and makes recommendations that are consistent with changes in the economy and financial markets.
Stays up-to-date with new investment products and market trends. Reads and applies a variety of trade, vendor and/or regulatory publication to keep informed about the market place (i.e. latest products, services, regulations, etc.)
Prepares and delivers clear, effective, and professional presentations.
Works in compliance with industry and broker/dealer procedures and regulations.
Ensures client information is up-to-date and complete utilizing broker dealer’s CRM Software.
Stays informed on market trends and completes all courses needed to maintain licenses and/or other certifications as required by outlined by SEC and broker/dealer.
Meets or exceeds production, service and profit goals.
Other Duties And Responsibilities
Participates in referral program, if appropriate, for Bank products
Other duties as assigned by manager
Supervisory Responsibility
None
Professional Relations
Works professionally with all employees, customers, vendors, and/or the general public to achieve goals and objectives of Claremont Savings Bank’s vision, mission, and values.
Enhances the Bank’s image by providing representation and involvement in community activities and charitable, civic and social organizations.
Education/Certification
Four-year college degree
Life and Variable Annuity license or ability to obtain license within 3 months of employment
Valid Series 7
Valid Series 65 or 66
Clean CRD/U4 Record
Required Experience/Required Knowledge
Minimum of 3 years sales experience in the business industry
Strong working knowledge of economic and accounting principles as well as the financial markets
Ability to read, analyze, and interpret general business periodicals, professional journals, technical procedures, or governmental regulations
Ability to effectively present information and respond to questions from groups of managers, clients, customers, and the general public
Ability to write reports and business correspondence in a professional manner
Three Years Prior Financial Advisor Experience Preferred
Possess superb verbal and customer service skills
Possess a valid driver’s license with clean driving record
Skills/Abilities
Working knowledge of technology and software planning tools sufficient to analyze and report financial data
Ability to interview, recommend, and close on sales of financial products
Proficiency with Microsoft Office Suite
Effective listening and questioning techniques
Excellent work ethic
Working Conditions And Physical Requirements
Moderate physical effort required; normally seated with the freedom of movement on a regular basis; some lifting of light materials and supplies. Work involves a mixture of walking, sitting, and/or standing. Well-lighted and ventilated office environment, which are generally pleasant and comfortable. Minimal exposure to injury or other hazards with moderate level of noise.
- Performance Measurements will be used to determine if a person is successful in the position.*
- External and internal applicants, as well as position incumbents who become disabled as defined under the American with Disabilities Act must be able to perform the essential functions (as listed) either unaided or with the assistance of a reasonable accommodation to be determined by management on a case by case basis.
Claremont Savings Bank reserves the right to change the job duties as business requirements dictate. The employee will be expected to perform other reasonably related duties as may be required by Management.
Every employee works for Claremont Savings Bank, not just for a particular manager. Accordingly, employees are expected to act in the best interests of the Bank, even if doing so requires actions and responsibilities not listed in the above job description.
Job descriptions are not intended as and do not create employment contracts. The Bank maintains its status as an at-will employer.
Approval: See Electronic Signature in ADP WorkforceNow