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MUFG Union Bank Investment Center Advisor, Officer - UnionBanc Investment Services in Tempe, Arizona

Investment Center Advisor, Officer - UnionBanc Investment Services - 10042996-WD

Description

UnionBanc Investment Services, a wholly owned subsidiary of Union Bank, is a trusted and highly respected broker-dealer and investment advisor that has helped clients reach their investment goals for more than three decades. We offer a comprehensive selection of competitive investment services and products to assist our clients with their financial goals.

Our team of talented professionals embodies the ingenuity, exceptional attitude, and passion for exemplary client service that drives our success. We respect diverse backgrounds, talents, and skills and place an emphasis on the value each individual brings to the equation. A consistent business philosophy, a well-defined and actionable strategic plan, and an inspired vision for the future are what make us unique. Be part of an environment where you can do what you love, excel at what you do, realize the rewards, and take pride in your achievements.

Job Summary:

Work with Retail Bank Partners to sell various investment vehicles including, Mutual Funds, UITs, Annuities, Brokered CD’s, and fee-based investment products. Assist customers in realizing their investments while also producing fee income for the Bank, cross-sell other investment and bank products to existing customer base and develop new business through working with banking partners and clients.

Major Responsibilities:

  • 60% - Receive and resolve client operational issues, such as questions regarding dividend payments, re-org items, statements, and trade confirmations etc. via incoming calls, mail, and electronic correspondence.

  • 30% - Place investment transactions, as directed by customers assist them with their investment decision making and provide them with current financial market information. Re-profile existing customers as to changes in their financial circumstances, risk tolerance, and investment needs. Meet client investment needs with available products and services where appropriate. Refer larger, more sophisticated clients to a UBIS Advisor.

  • 10% - Keep clients current on changing regulatory and product policies and procedures. Also keep clients updated on changing UBIS policies and procedures. Accept new customers as referred from the branch network and from existing customer base. Educate new customers and prospects on applicable product offerings.

Qualifications

Qualifications:

  • Requires FINRA License and NASD Series 7, 66 and 63 in addition to technical work-related experience from 0 to 2 years.

The above statements are intended to describe the general nature and level of work being performed. They are not intended to be construed as an exhaustive list of all responsibilities, duties, and skills required of personnel so classified.

We are proud to be an Equal Opportunity / Affirmative Action Employer and committed to leveraging the diverse backgrounds, perspectives, and experience of our workforce to create opportunities for our colleagues and our business. We do not discriminate in employment decisions on the basis of any protected category.

A conviction is not an absolute bar to employment. Factors such as the age of the offense, evidence of rehabilitation, seriousness of violation, and job relatedness are considered in all employment decisions. Additionally, it’s the bank’s policy to only inquire into a candidate’s criminal history after an offer has been made. Federal law prohibits banks from employing individuals who have been convicted of, or received a pretrial diversion for, certain offenses.

Job : Customer and Client Services

Primary Location : ARIZONA-Tempe

Job Posting : Apr 15, 2021, 10:56:45 AM

Shift: : Day

Schedule: : Full Time

Req ID: 10042996-WD

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