• Assess clients' current financial situation, goals, and objectives to determine solutions through the financial planning process. Prioritize short term and long-term needs of the client based on the analysis.
• Responsible for contributing to the development of sales strategies to grow client base.
• Promote and sell the full array of financial services to current and new clients.
• Provide immediate responsiveness to all referrals - scheduling meetings and following up on all potential clients.
• Responsible for managing pipeline and activities to assure appropriate number of prospect opportunities are in pipeline and moving through sales cycle to meet sales goal. Implement and deliver specific solutions.
• Lead client relationship review discussions. Manage and review the relationship on an ongoing basis to ensure client goals and objectives are achieved.
• Conduct employee education and enrollment services for group retirement plan clients.
• Adhere to applicable compliance/operational risk controls in accordance with regulatory standards and policies.
• Maintain internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators as applicable.
• Provide customers with information and advice on purchase or sale of securities, financial services, insurance, and investment plans based on review of professional publications and other financial literature, as well as knowledge of securities market and financial services industry.
• Interview customers to determine financial position, resources, assets available to invest, liabilities, cash flow, insurance coverage, tax status, and financial goals. This data is to be analyzed so that a financial plan can be tailored to the needs of the customer.
• Recommend financial products and services to clients for investment and insurance purposes.
• Apply knowledge of securities, investment plans, insurance, market conditions, and regulations, as well as the financial situation of customers.
• Develop and implement annual sales plan designed to achieve desired annual goal.
• Communicate regularly with existing clients.
• Maintain current knowledge of securities market and financial services industry.
• Educate clients on successful investment and estate planning processes.

• Bachelor's degree in finance, business, or economics
• Minimum of 2 to 5 years’ sales experience in the financial services industry
• Proven record of implementing wealth management strategies
• NASD Series 7, 63, 65/66 designation, CFP and/or other
• Clean Form U-4
• Appropriate Insurance Licenses (not required but preferred)
• Extremely adept with numbers and analysis and knowledgable about a wide variety of investing and money management techniques
• Strong interpersonal and relationship building skills

Herbein + Company is an equal opportunity employer. All applicants will be considered for employment without attention to race, color, religion, sex, sexual orientation, gender identity, gender expression, national origin, veteran or disability status.