Associate Financial Advisor

This is a fully remote position, open to applicants in Illinois.

📋 Description

• Establish trust and cultivate strong relationships with clients

• Assess individual investment requirements and deliver tailored financial advice

• Ensure an exceptional onboarding experience for clients

• Analyze client portfolios and propose suitable investment solutions

• Offer investment recommendations based on client suitability, timelines, and objectives

• Educate clients about acceptable risks and performance expectations

• Develop personalized action plans to assist clients in reaching their financial aspirations

• Act as the subject matter expert in investment products across 15 different categories

• Expand the client portfolio and achieve monthly sales targets

• Attract external assets from both existing and new clients

• Provide advice on maturities and pinpoint uninvested opportunities

• Manage direct client relationships and oversee a client group with total assets of $100MM

• Comply with internal and FINRA audit standards and finalize regulatory approvals

• Conduct investment reviews and formulate financial plans

• Present financial solutions while safeguarding client personal information

• Implement Anti-Money Laundering (AML) requirements for both house and assigned accounts

• Execute precise and disciplined trading orders and confirmations

• Identify trading needs and comply with the Best Interest Contract for every suggestion

• Stay updated on the evolving regulatory landscape

• Provide wealth and investment-related sales and services to BMO customers and prospects

• Conduct sales and service activities following approved procedures

• Identify and refer clients to other business divisions

• Validate client accounts and complete necessary regulatory sign-offs

⛳️ Requirements

• Current Series 7 and 66 licenses, or Series 7, 63, and 65

• Active life and health insurance licenses

• Bachelor’s Degree

• A minimum of 3-5 years of experience in the financial industry

• U4 background check requirements must be met

• Ongoing education through FINRA and BMO is required

• Strong understanding of financial markets

• Familiarity with investment products including mutual funds, annuities, managed accounts, market-linked CDs, unit investment trusts, and retirement planning

• Proficiency in LPL ClientWorks, Salesforce, and MoneyGuidePro

• Knowledge of cost basis, tax documentation, IRA Required Minimum Distributions (RMD) withdrawals, and early withdrawal penalties

• Ability to comply with FINRA, AML, regulatory, and Best Interest Contract obligations

• Availability to work Monday through Friday during operating hours, including the 10 a.m.-7 p.m. Central Time shift as necessary

🏝️ Benefits

• Customizable benefits

• Performance bonuses

• Innovative digital tools

• Access to professional tools and resources

• Comprehensive training

• Ongoing support from management

• Health insurance coverage

• Tuition reimbursement assistance

• Accident and life insurance options

• Retirement savings plans

• Opportunities for professional networking

• Continuing education facilitated by FINRA and BMO