Xceed Financial Credit Union
  • - Wealth Management
  • CA, USA
  • 36K-42K
  • Hourly
  • Full Time

Responsible for direct sales of securities and insurance products.  Responsibilities include, but are not limited to, the attainment of sales goals, maintaining a high level of account service, compliance with FINRA, SEC as well as State Insurance regulations and internal policies and guidelines of XFCU and current broker-dealer.  



1.         100% - Sales/Sales Support


2.         Initiate contact with prospects/members and close sales of securities and insurance products in accordance with their needs and objectives. 


3.         Work within the guidelines for the FINRA Code of Conduct, the broker/dealer's supervisory procedures and internal credit union compliance procedures. 


4.         Attain the sales and revenue goals as defined in the Compensation Payout Grid for any given calendar year including the Assets Under Management Plan.  Said goals must be maintained on a monthly and annual basis.


5.         Speaker at seminars as appropriate. 


6.         Maintain and strengthen the account relationship by contacting each member/client no less than once each year. 


7.         Thoroughly profile all members/clients including review of their life insurance and long term care situation.


8.         Provide members/clients with suitable products and services that fit their needs.


9.         Establish and maintain a good working relationship with the Financial Center staff and other departments.


10.        Follow-up and provide continued support and contact with members/clients,, maintaining a professional relationship with members/clients at all times.


Five (5) years minimum experience as a Financial Consultant, Junior Consultant, Licensed Sales Assistant or Licensed Branch Employee. Will also consider other securities related positions.  Candidate must possess the appropriate State Insurance licenses as well as FINRA Series 7 and Series 66 or Series 63 and 65.  Provide courteous and enthusiastic service to XFCU associates and members.


Must have excellent interpersonal skills (written and verbal) to facilitate communications with staff, credit union members and other outside contacts.  Must have excellent time management skills, be able to multi-task and be detail oriented.



College degree or equivalent experience in the Financial Services industry.



Must possess the ability to work independently and as part of a larger team.  Communication skills including written, oral, and presentation skills are required.  Must be able to perform complex analysis and produce professional documentation with recommendations.  A strong bias for action is essential.

Xceed Financial Credit Union
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