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Financial Consultant - Registered Rep

Provident Credit Union San Jose Full-Time
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Responsible for selling and servicing of alternative investment products and insurance products available through Securities America and Provident Credit Union.  This position requires specific regulatory licenses that must be maintained in good standing at all times.

 Specific Job Duties

  • Provide investment and insurance analysis and advice to members and potential members of the credit union.

  • Perform daily sales activities such as generating new sales appointments and making follow-up calls to credit union members, potential members, and select employee groups. 

  • Follow-up on all leads provided by credit union staff. 

  • Partner with credit union business development staff to generate additional leads and provide value added to the credit union’s offerings. 

  • Liaise with branch management and staff to generate leads and integrate activities with credit union initiatives. 

  • Prepare and present educational seminars as part of the credit union’s annual comprehensive financial seminar schedule.

  • Provide educational sessions to branch staff to educate them on the member benefits available as part of the credit union’s investment and insurance services.

  • Attend and participate in monthly sales meetings.

  • Maintain standard for number of appointments per month as set forth by supervisor

  • Perform all administrative duties associated with the sales process.

  • Comply with all aspects of regulations as set forth by the FINRA/SEC and other policies, procedures and business practices required by the broker/dealer.

  • Promote teamwork with coworkers and work well with others.

  • Complete required compliance training annually.

  • Understand and adhere to BSA & OFAC policies and procedures, including reporting suspicious activity.


Job Knowledge/Experience:

  • Bachelor’s degree preferred.
  • Must have SEC Series 7, 63 and a Life license
  • Two years of hands-on insurance and investment product sales experience, preferably with a current book of business.
  • Demonstrated sales production track record.
  • Demonstrated customer service skills.
  • Demonstrated sales prospecting ability.
  • Superior written and oral communication skills.
  • Demonstrated proficiency with Microsoft Office software, including Word, Excel, and Outlook.
  • Demonstrated expertise with financial planning and investment research software.
  • Ability to communicate clearly and with purpose.
  • Working knowledge of: FINRA and SEC Rules And Regulations and Government Regulations As They Pertain To Selling Financial Products and Services.

Recommended skills

Securities (Finance)
Selling Techniques
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Job ID: 48


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