Financial Consultant at First Citizens Community Bank in Sayre, Pennsylvania

Job Description:

Provides investment information based on understanding of customer needs and objectives and selects from alternative products available through LPL Financial Services to complete the sale. Assures that high quality and integrity are primary considerations in representing the bank and in serving our clients.
Participates with division management, associates, and other bank departments in planning and implementation of programs designed to market and sell non-deposit products and to equip other bank personnel to understand and refer them as appropriate. Acts as an "in-house resource" to other licensed bank personnel to help them select appropriate investment products and to assist them in matching products with client needs and objectives.
Ensures compliance with broker / dealer rules and regulations and stays familiar with compliance rules of LPL, FINRA, SEC, OCC, and other regulators in order to pass all compliance audits and avoid arbitration or other loss.
Oversees a variety of administrative processes including the paperwork needed to establish and adequately monitor investment accounts, as well as the filing and retrieval of materials needed to make informed decisions and fulfill audit requirements.
Attends various meetings, works with wholesalers and LPL reps, and reads financial services publications to stay abreast of current events and developments in the industry.