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Financial Advisor

Shift Type: Full Time (40)
Location: Admin. Office
Description: Responsible for offering, selling and servicing suitable investment and insurance products to San Diego County Credit Union (SDCCU) members in order to strengthen members’ relationships with the credit union, expand the types of financial products and services members have available at SDCCU, increase the number of products/services per member, enhance member retention, generate additional revenue for the credit union and assist members in the pursuit of their financial goals. Also responsible for observing and maintaining applicable compliance laws, rules, regulations, and policies & procedures from all applicable regulatory entities and organizations. Provide exceptional service and exhibit professionalism to members, employees and vendors.
Essential Duties & Responsibilities:
  • Prospect for members interested in potentially purchasing investments and/or insurance using SDCCU-approved business generation methodologies.
  • Sell members suitable and pre-approved investment and/or insurance products and services available through the credit union’s chosen third-party broker/dealer.
  • Observe all applicable laws, rules, regulations, guidelines and polices & procedures from all applicable entities and/or persons to include but not be limited to federal and state regulators, governing entities, self-regulatory organizations, the credit union’s chosen third-party broker/dealer, the Financial Advisor’s (Registered Representative’s) Office of Supervisory Jurisdiction (OSJ) and Branch Office Manager (BOM), and SDCCU.
  • Meet or exceed productivity goals established by credit union management.
  • Complete in a timely manner all required training and continuing education required by SDCCU, regulatory entities, licensing entities, and vendors to include the credit union’s chosen third-party broker/dealer.
  • During both business hours and non-business hours, act professionally in the presence of SDCCU’s members, employees, volunteers, Select Employer Groups (SEGs) and their employees, and vendors and their employees.
  • Participate in AML (Anti-Money Laundering) / BSA (Bank Secrecy Act) / OFAC (Office of Foreign Assets Control) and related types of compliance training as assigned and/or required. Adhere to SDCCU’s and the broker dealer’s AML/BSA policies and procedures including CTR (Currency Transaction Report) rules and form preparation, identification and communication of suspicious activity to the credit union’s Compliance Department, and using Customer Identification Procedures (CIP) in accordance with SDCCU’s and the broker/dealer’s applicable policies & procedures.
Other Duties & Responsibilities:
  • Perform other duties as assigned.
Minimum Requirements:
  • FINRA (Financial Industry Regulator Authority) Series 7 license and Series 66 license (a Series 65 license plus a Series 63 license together are acceptable in lieu of a Series 66 license). All securities’ licenses must be currently acceptable for registration by and with the credit union’s chosen third-party broker/dealer. In coordination with SDCCU, the credit union’s chosen third-party broker/dealer reserves the right to not register any licenses not required to carry out the essential duties and responsibilities described herein.
  • Current California Department of Insurance Life Agent license with the authority to transact Variable Contracts. The current California Department of Insurance insurance license(s) must be acceptable for appointment by and/or with the credit union’s chosen third-party broker/dealer and/or its insurance affiliates and/or insurance carriers.
  • Bachelor's degree preferably in a related field or equivalent work experience.
  • 3-5+ years of proven, successful experience in direct retail sales of investment and insurance products and services.
  • 2+ years successfully selling investments and insurance in a credit union or bank environment.
  • Prior experience meeting or exceeding defined goals and deadlines in a sales-driven environment.
  • Proven history and track record of successful, results-driven prospecting and referral follow-up of existing credit union members or bank customers in a credit union or bank environment.
  • Excellent interpersonal skills.
  • Excellent written and oral communication skills.
  • Professional demeanor and attire.
  • Develop and deliver effective, compliant and professional presentations to prospects and branch employees with confidence.
  • Ability to relate to a varied audience.
  • Excellent PC skills to include Microsoft Office software such as Outlook, Word, Excel, etc.
  • Must be able to learn (in a relatively short timeframe) to proficiently operate transaction, data, information, training, etc. software platforms provided by vendors such as the credit union’s chosen third-party broker/dealer.
  • Must be a highly organized self-starter with the ability to prioritize responsibilities to meet goals and deadlines.
  • Ability to work independently with minimum day-to-day supervision.
  • Must have reliable transportation as well as possess car insurance and a valid California driver’s license.
Physical Demands & Work Environment: The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
While performing the duties of this job, the employee is regularly required to sit, talk and hear. The employee is frequently required to walk, use hands to finger, handle, or feel objects, tools, or controls, and reach with hands and arms. The employee is occasionally required to stand. The employee may occasionally be required to lift and carry and/or move up to 25 pounds. Specific vision abilities required by this job include close vision, distance vision, color vision, and the ability to adjust focus.
The noise level in the work environment is usually moderate.
Special Instructions:

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6545 Sequence Drive • San Diego, CA 92121

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San Diego County Credit Union® was founded on the principle that people come first and profits second. This forward-thinking approach in the banking industry has propelled SDCCU® to become San Diego’s BEST Credit Union and largest locally-owned financial institution. SDCCU provides breakthrough banking products that meet the demands of today’s lifestyle and delivers banking services that save customers money. SDCCU serves customers nationwide with 30,000 surcharge-FREE CO-OP ATMs and 43 branch locations in San Diego, Riverside and Orange counties. Open an account today.

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