What are the responsibilities and job description for the Wealth Advisor position at TruMark Financial?

TruMark Financial Credit Union Job Description

Job Title : Wealth Advisor

Department : TruMark Financial Wealth Advisors

Reports To : Retail Investments Director

FLSA Status : Exempt

Position Summary :

The Wealth Advisor is responsible for helping employees, members, and prospects achieve their financial goals by providing exceptional personalized service and investment products. This role involves assessing financial needs and objectives, developing tailored investment strategies, and fostering long-term relationships based on trust and respect.

Benefits :

We offer our Wealth Advisors :

An established book of business to build from on day one.
Access to the credit union's member base.
Strong organizational support with goals aligned with the investment program.
Open architecture platform with access to thousands of products from leading third-party product sponsors.
Leading edge technology with access to a proprietary database.
Marketing support designed to help you retain and grow your business.
Administrative sales support - spend less time on administration and more time managing your relationships.
Flexibility to build your business as you wish - as second story advisor, through teams, or through individual territories.
Our broker / dealer, LPL Financial provides state of the art technology, and an extensive array of investment products and resources to support your success.

Essential Functions

Identify and evaluate member financial needs, assess objectives, and develop and implement investment strategies.

Develop and maintain long-term relationships with clients, employees, and members.

Achieve sales goals set by the Investment Program.

Provide financial analysis on client progress toward financial goals, including preparing gap analyses and conducting annual reviews.

Follow the rules and regulations of the credit union, FINRA, SEC, and the broker / dealer.

Stay current on all products and services offered, including insurance, mutual funds, annuities, advisory products, general securities, retirement plans, and 529 plans.

Provide regular feedback to branch employees, credit union executives, and sales managers on sales practices and business development initiatives.

Work with various business lines within the credit union to identify and leverage cross-sell opportunities.

Actively market and support credit union promotional activities.

Engage in business development by supporting marketing programs, maintaining a marketing database, networking, sponsoring client events and seminars, and participating in corporate initiatives.

Drive investment and credit union integration initiatives, support branch and Member Service associates through training sessions, and maintain consistent office hours at designated branches.

Support the company's mission and corporate values.

Qualifications :

FINRA Series 7, 63, and Series 66 or 65 state Life and Health Insurances licenses.

3-5 years of licensed registered representative sales experience.

In-depth investment knowledge, exceptional sales skills, strong presentation skills, and a strong work ethic.

Proven ability to build and maintain a clientele.

Maintain securities and insurance licenses, fulfill regulatory and broker-dealer continuing education requirements.

Understand and follow standards established by industry regulators, the broker / dealer Code of Conduct, Compliance Guide, and credit union Standards of Performance.

Abide by the broker / dealer Registered Representative Agreement and TruMark Financial Registered Representative Employment Agreement.

Meet production standards outlined in the compensation plan.

Language Skills :

Ability to read, analyze, and interpret compensation, tax, financial, legal, regulatory reports, and documents.

Ability to respond to common inquiries or complaints from members, regulatory agencies, or members of the business community.

Ability to effectively present job-related information to employees.

Physical Requirements

Ability to sit for long periods of time.

Ability to use hands to grasp, handle or feel.

Ability to use computer keyboard and system to enter data and process information.

Ability to read a computer screen at a close distance.

Ability to read, talk clearly so that others understand, hear, comprehend the written and spoken word, and see.

Ability to use telephone to communicate with others.

Ability to use office equipment such as teller scanner, personal computer, telephone, mobile device, copier, etc.

Working Conditions

Moderate sound as in business office with office machines, computers, and people traffic.

Open floor work environment.

All qualified applicants will receive consideration for employment without regard to race, color, age, religion, gender, sexual orientation, gender identity, national origin, protected veteran status or disability.

This job description is not an employment agreement or contract, implied or otherwise. TruMark Financial Credit Union maintains "at will" employment.

This document describes the position currently available. It is intended to convey information essential to understanding the scope of the position and is not an exhaustive list of skills, efforts, duties, responsibilities, or working conditions associated with it. TruMark Financial Credit Union reserves the right to modify duties or job descriptions at any time. Nothing in this job description restricts management's right to assign or reassign duties and responsibilities at any time. Individuals may perform other duties as assigned, including work in other functional areas to cover absences, to equalize peak periods, or otherwise balance the workload.

TruMark Financial Credit Union is committed to the principles of equal employment opportunity and prohibits discrimination in hiring, promotion and terms and conditions of employment on the basis of race, creed, color, national origin / nationality, ancestry, religion / religious practices or observances, age, sex, gender identity or expression, affectional or sexual orientation, marital status, civil union status, domestic partnership status, disability or perceived disability, atypical hereditary cellular or blood trait, genetic information, and status as a veteran or disabled veteran of, or liability for service in, the Armed Forces of the United States.

TruMark Financial Credit Union commits to making reasonable accommodation to the known physical or mental limitations of qualified individuals with disabilities and qualified disabled veterans provided the individual is able to perform the essential functions of the job, unless such accommodation would impose an undue hardship upon TruMark Financial Credit Union. The physical demands and work environment characteristics described herein are representative of those that must be met by an employee to successfully perform essential functions of this position or may be encountered while performing essential functions. A qualified employee or job applicant with a disability may request a reasonable accommodation by contacting TruMark Financial Credit Union's Human Resources Department.

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