Financial Professional
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Job Description
Financial Professional position focused on offering and selling approved financial products. Responsibilities include compliance with legal regulations and communication with clients regarding financial services.
Responsibilities:
- Representative will offer, solicit offers, and sell such products and services that have been expressly approved in advance by Osaic Institutions
- comply with all applicable laws, rules, regulations and statements of policy
- deliver or cause to be delivered to the customer, in accordance with all applicable securities, investment advisory and insurance laws, rules and regulations, a current prospectus, offering memorandum, applicable Form ADV or such other documents that may be in effect and are required to be disclosed
- fully explain the items and conditions of the purchase or sale of securities and insurance products and investment advisory services to the customer or prospective customer
- conduct his or her actions as an investment adviser representative under the Investment Adviser’s Act of 1940
- furnish to the customer and prospective customers such other disclosure forms as required by Osaic Institutions’ policies and procedures
Requirements:
- Bachelor’s degree preferred
- high school diploma (or equivalent) in combination with significant practical experience will be considered in lieu of degree
- In-depth understanding of employer, industry and federal regulations
- Knowledge of financial options, including investments, loans, savings accounts and stock options
- Expertise in financial planning and investment strategies
- Familiarity with the securities, mutual fund and insurance industries
- Advanced ability to analyze and explain market data
- Analytical thinking skills and the ability to assess clients’ needs
- Excellent communication abilities, including writing, speaking and active listening
- Effective sales, presentation and customer service skills
- Good organization and time management skills
Benefits:
- health, vision, dental insurance
- 401k
- vacation and sick time
- volunteer days
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