Investment Advisor Representative

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: 

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