JOB SUMMARY

The new Financial Advisor (FA) will go through a structured pre-registration program. It consists of two parts, the Branch self-study portion and the Outside training away from the branch.

The Branch self-study program is based on textbooks, the Compliance Policies and Procedures Manual, and custom designed exercises. The new FA will also have self-study materials for their securities license tests for Series 7, and Series 66.

The FA must develop relevant processes and/or solutions that meet the responsibilities of the position as well as the expected revenue and profitability requirements of the company. This position earns individually generated commissions or fees based on financial services and investment products provided to individual investors and institutions.

ESSENTIAL DUTIES AND RESPONSIBILITIES

• Registration for FINRA Series 7 and Series 66 (or 63 & 65) or FINRA recognized equivalents must be obtained to remain in this position.
• Designated insurance license requirements must be completed within six (6) months of hire date. Compliance with state law requirements is required.
• Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position. In addition to state registration, specific product licenses or SAFE licensing may apply. We will initiate financial and criminal background review process at the time of offer acceptance.
• Stay informed of current or anticipated trends and changes in the investment market through Research reports, Continuing Education, media and other appropriate sources in order to be able to advise customers.
• Remain aware of clients’ needs, both individually and by segment, and make suitable recommendations based on those current needs; implement transactions and strategies based upon the client’s acceptance.
• Prospect clients, conduct cold calls, arrange and conduct seminars, network, travel to meet clients, review portfolios and perform portfolio evaluations.
• Accept and enter orders from clients in states in which the FA is registered.
• Cooperate and collaborate with colleagues to achieve shared goals. Work with others outside of own area to create effective partnerships which meet organizational objectives.
• Complete initial and ongoing Firm and industry training requirements.
• Stay current with industry rules and regulations as well as Firm policies and procedures.
• Identify situations that need to be escalated to the Branch Manager, including suspicious client and/or employee activity.
• When applicable, work with other Financial Advisors and/or mentor Financial Advisor Associates in a team and/or partnership setting.
• Assign administrative support duties to Client Service Associates (registered or non-registered).
• Other duties as assigned by Branch Manager.

QUALIFICATIONS

• High school diploma or equivalent (Bachelor's preferred).
• Active listening – giving full attention to what client is saying, taking time to understand the points being made, asking questions as appropriate and not interrupting at inappropriate times.
• Speaking – talking to others to convey information effectively.
• Time Management – Ability to prioritize, multi-task and organize in consideration of one’s own schedule and the schedules of others.
• Service Orientation – Actively looking for ways to meet clients’ financial needs.
• Judgment and Decision Making – Considering all benefits, costs and risk factors as well as knowing the clients’ needs and being able to recommend an appropriate solution.
• Critical Thinking – Proper use of logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions or approaches to problems.
• Persuasion – the ability to present your viewpoint and recommendation effectively to establish client relationships and finalize investment transactions.
• Ethics- conduct business under the high standards and principals of trade of the rules governing the industry and deal with clients in a fair and honest way, with the client’s interest of primary concern.
• Thorough knowledge of all Stifel investment products or the resources to obtain this knowledge.
• Sales and Marketing – Knowledge of principles and methods for showing, promoting, and selling products or services, including marketing strategy and tactics, product demonstration, sales techniques, etc.
• Economics and Accounting – Knowledge or economic and accounting principles and practices, the financial markets, banking and the analysis and reporting of financial data.
• Knowledge of administrative and clerical procedures and systems such as word processing, spread sheet applications, managing files and records, and other office procedures and terminology.
• Strong focus on exemplary customer service. Strong interpersonal skills. Strong communication skills (both written and verbal). Excellent grammar and possess phone/office etiquette.

EQUIPMENT/SOFTWARE SKILLS REQUIRED

• IBM or compatible desktop and/or laptop computer.
• General knowledge of MS Office software, Word, Excel, Outlook.

ABOUT STIFEL

Established in 1890, Stifel is one of the nation’s leading full-service wealth management and investment banking firms. Stifel serves clients from more than 400 offices across the United States and ranks as the nation’s seventh largest full-service investment firm in terms of number of financial advisors. We are also a leading provider of investment banking services to the middle market, a top-ten municipal bond underwriter, and home to one of the industry’s largest research franchises. In addition our Stifel Bank subsidiary provides a comprehensive range of banking services.

At Stifel we offer an entrepreneurial environment, comprehensive benefits package to include health, dental and vision care, 401k, wellness initiatives, life insurance, and paid time off.

The health and safety of our employees and candidates is very important to us. We continue to monitor the current public health situation and have adjusted our hiring procedures to include virtual recruiting tools that allow us to continue meeting new candidates. We look forward to “virtually” meeting you.

Stifel is an Equal Opportunity Employer.

Licenses & Certifications

• Series 7
• Series 66
• Series 63