Licensed Financial Advisor (SA)

Description

Prospects within the financial institution by partnering with customer contact associates to identify potential business clients and expand existing customer relationships.

ESSENTIAL DUTIES

The duties listed below may not include all responsibilities that the person in this role may be asked to perform. Incumbent may be required to perform other related duties, as assigned, including cross training across other departments, as necessary.

• Prospects within the financial institution by partnering with customer contact associates to identify potential business clients and expand existing customer relationships
• Engages in effective sales calls and related activities that enable access to those customers who may not frequently use the traditional branch system
• Prospects outside the financial institution in order to identify and bring in new customer relationships utilizing CRM reports, involvement in civic and community involvement, and related activities
• Utilizes effective needs-based relationships building sales strategies and sales performance metrics
• Participates in job specific training and other various Bank training programs, as necessary
• Maintains current knowledge of internal risk controls and loss prevention, including reporting of suspicious or unusual customer activity per Bank policy
• Maintains current knowledge and complies with all federal and state laws and regulations and all established Bank policies and procedures, including internal audit controls related to department operations
• Maintains current knowledge of all rules, regulations, and laws as they apply to BSA/OFAC/USA Patriot Act/CIP/AML

Qualifications

QUALIFICATIONS

These specifications are general guidelines based on the minimum experience normally considered essential to the satisfactory performance of this position. The requirements listed below are representative of the knowledge, skill and/or ability required to perform the position in a satisfactory manner. Individual abilities may result in some deviation from these guidelines.

• A self-starting team player with a four-year Bachelor’s degree in Finance or a related discipline from an accredited college or university
• FINRA Series 6 or Series 7, FINRA Series 63, and Life and Health Insurance licenses
• An equivalent amount of experience and education may be substituted in lieu of the degree requirement
• All licensing must be kept current and maintained in good standing
• Must be hard working team player with professional attitude, sales aptitude, and ability to work with minimal supervision
• Skills should include typing 45 wpm, 10 key calculator, word processing and spreadsheet software, and telephone
• Excellent organizational, interpersonal, communication and customer relation skills
• Visual and mental concentration are necessary for accurately performing tasks, working at computer for long periods of time, working in a fast paced environment and handling frequent interruptions
• Bilingual skills in English and Spanish are required

ORGANIZATION

• This position reports to the Investment Brokerage Manager
• This position does not oversee other positions

TRAINING REQUIREMENTS

All employees are required to attend scheduled mandatory trainings and complete online regulatory compliance training courses applicable to their specific job function. In all situations, employees must ensure that their actions fully comply with all federal banking laws and regulations, including internal bank policies and procedures. Failure to adhere to these requirements will be grounds for disciplinary action, including probation and possible termination.

COMMUNITY INVOLVEMENT

Lone Star National Bank’s Mission Statement includes a commitment to helping our communities grow by serving them with pride and integrity.  All employees are encouraged to volunteer for bank sponsored activities, civic, charitable and community events and to be active in the communities we serve.

LSNB is an Equal Opportunity/Affirmative Action Employer and does not discriminate in the recruitment, hiring, and conditions of employment on the basis of race, color, religion, national origin, sex (including pregnancy), sexual orientation, gender identity, marital status, disability, age, veteran status, or any other status as protected by applicable laws.

Management reserves the right to change this position description at any time according to business needs.