H-1B Visa Associate Financial Advisor Jobs
Associate Financial Advisor jobs attract H-1B visa sponsorship from wealth management firms, broker-dealers, and banks that need degreed professionals to manage client portfolios and financial planning processes. The role typically qualifies as a specialty occupation requiring a bachelor's degree in finance, economics, or a related field, making it a strong fit for H-1B petitions.
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Get Access To All JobsINTRODUCTION
The Associate Financial Advisor is responsible for the development of new business and retention of existing relationships while creating and maintaining relationships with centers of influence and business partners. This position supports a Financial Advisor team and assists with new business, managing client relationships, reviewing portfolio performance with clients and completing client service requests. This individual also conducts securities transactions, holds educational branch meetings as required, communicates effectively within team and management and submits required reports in a timely fashion as requested. An Associate Financial Advisor should be in good standing in their community.
ESSENTIAL FUNCTIONS
- Assist with setting personal goals and targets and meet and/or exceed annual production guidelines
- Maximize technology tools available and provide required reporting on a timely basis
- Cultivate potential referrals from existing clients, Retail offices, Northwest's departments and centers of influence in the community
- Complete financial profiles and accurately analyze customer needs and recommend products and services accordingly, taking into account all suitable alternatives
- Perform presentations, meetings, account reviews and seminars with prospects and/or clients; coordinate customer documentation and agreements; correspond as necessary
- Monitor client accounts and transactions on an ongoing basis
- Cross sell other Northwest products and services and provide branch training on a periodic basis
- Recommend new marketing initiatives / potential new business opportunities / improvements to internal procedures
- Ensure compliance with Northwest Investment Services and broker dealer policies and procedures; obtain continuing education, as required
- Ensure compliance with FINRA/SEC regulations and requirements (licensed representatives)
- Conduct securities buying and selling as directed by client (licensed representatives)
- Review financial/investment markets daily
- Establish a presence with your community
- Minimize departmental non-payroll costs
- Sit in Northwest Bank branch offices assigned by Regional Sales Manager
ADDITIONAL ESSENTIAL FUNCTIONS
- Ensure compliance with Northwest’s policies and procedures, and Federal/State regulations
- Navigate Microsoft Office Software, computer applications, and software specific to the department in order to maximize technology tools and gain efficiency
- Work as part of a team
- Work with on-site equipment
SAFETY AND HEALTH FOR THOSE WITHOUT SUPERVISORY DUTIES
- Abide by the rules of the safety and loss prevention program
- Perform work tasks in a safe manner
- Report any and all injuries to supervisor
- Know what to do in case of an emergency
QUALIFICATIONS
To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
Education
Bachelor's Degree Finance / related degree preferred
WORK EXPERIENCE
2 - 3 years relevant experience
GENERAL EMPLOYEE KNOWLEDGE, SKILLS, AND ABILITIES
- Ability to establish effective working relationships among team members and participate in solving problems and making decisions
- Ability to present and express ideas and information clearly and concisely in a manner appropriate to the audience, whether oral or written
- Ability to actively listen to what others are saying to achieve understanding, sharing information with others and facilitating the open exchange of ideas and information
- Ability to establish courses of action for self to accomplish specific goals, develop and use tracking systems for monitoring own work progress, and effectively use resources such as time and information
- Ability to make right decisions based on perceptive and analytical processes, practicing good judgment in gray areas
ADDITIONAL KNOWLEDGE, SKILLS AND ABILITIES
- Ability to analyze financial data
- Knowledge of mutual funds, stocks and bonds
- Knowledge of investment markets, general economic fundamentals and available products and services
- Knowledge of Custodian Accounts
- Knowledge in Investments, IRA’s and Estates
- Knowledge of Fiduciary, ERISA and brokerage account types
- Knowledge of Employee Benefits
LICENSES AND CERTIFICATIONS
Series 7 In relevant states Upon Hire
And Life/Acc/Health In relevant states Upon Hire
And Series 63 In relevant states Upon Hire
And Series 65 In relevant states Upon Hire
Or Series 66 In relevant states Upon Hire
The pay range for this position is generally $40,000 annually. Actual pay is based on various factors including but not limited to the successful candidate’s experience, skills, and knowledge. Additional bonus earning opportunities and benefits are also available.
Northwest is an equal opportunity employer. We are committed to creating an inclusive environment for all employees.
INTRODUCTION
The Associate Financial Advisor is responsible for the development of new business and retention of existing relationships while creating and maintaining relationships with centers of influence and business partners. This position supports a Financial Advisor team and assists with new business, managing client relationships, reviewing portfolio performance with clients and completing client service requests. This individual also conducts securities transactions, holds educational branch meetings as required, communicates effectively within team and management and submits required reports in a timely fashion as requested. An Associate Financial Advisor should be in good standing in their community.
ESSENTIAL FUNCTIONS
- Assist with setting personal goals and targets and meet and/or exceed annual production guidelines
- Maximize technology tools available and provide required reporting on a timely basis
- Cultivate potential referrals from existing clients, Retail offices, Northwest's departments and centers of influence in the community
- Complete financial profiles and accurately analyze customer needs and recommend products and services accordingly, taking into account all suitable alternatives
- Perform presentations, meetings, account reviews and seminars with prospects and/or clients; coordinate customer documentation and agreements; correspond as necessary
- Monitor client accounts and transactions on an ongoing basis
- Cross sell other Northwest products and services and provide branch training on a periodic basis
- Recommend new marketing initiatives / potential new business opportunities / improvements to internal procedures
- Ensure compliance with Northwest Investment Services and broker dealer policies and procedures; obtain continuing education, as required
- Ensure compliance with FINRA/SEC regulations and requirements (licensed representatives)
- Conduct securities buying and selling as directed by client (licensed representatives)
- Review financial/investment markets daily
- Establish a presence with your community
- Minimize departmental non-payroll costs
- Sit in Northwest Bank branch offices assigned by Regional Sales Manager
ADDITIONAL ESSENTIAL FUNCTIONS
- Ensure compliance with Northwest’s policies and procedures, and Federal/State regulations
- Navigate Microsoft Office Software, computer applications, and software specific to the department in order to maximize technology tools and gain efficiency
- Work as part of a team
- Work with on-site equipment
SAFETY AND HEALTH FOR THOSE WITHOUT SUPERVISORY DUTIES
- Abide by the rules of the safety and loss prevention program
- Perform work tasks in a safe manner
- Report any and all injuries to supervisor
- Know what to do in case of an emergency
QUALIFICATIONS
To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
Education
Bachelor's Degree Finance / related degree preferred
WORK EXPERIENCE
2 - 3 years relevant experience
GENERAL EMPLOYEE KNOWLEDGE, SKILLS, AND ABILITIES
- Ability to establish effective working relationships among team members and participate in solving problems and making decisions
- Ability to present and express ideas and information clearly and concisely in a manner appropriate to the audience, whether oral or written
- Ability to actively listen to what others are saying to achieve understanding, sharing information with others and facilitating the open exchange of ideas and information
- Ability to establish courses of action for self to accomplish specific goals, develop and use tracking systems for monitoring own work progress, and effectively use resources such as time and information
- Ability to make right decisions based on perceptive and analytical processes, practicing good judgment in gray areas
ADDITIONAL KNOWLEDGE, SKILLS AND ABILITIES
- Ability to analyze financial data
- Knowledge of mutual funds, stocks and bonds
- Knowledge of investment markets, general economic fundamentals and available products and services
- Knowledge of Custodian Accounts
- Knowledge in Investments, IRA’s and Estates
- Knowledge of Fiduciary, ERISA and brokerage account types
- Knowledge of Employee Benefits
LICENSES AND CERTIFICATIONS
Series 7 In relevant states Upon Hire
And Life/Acc/Health In relevant states Upon Hire
And Series 63 In relevant states Upon Hire
And Series 65 In relevant states Upon Hire
Or Series 66 In relevant states Upon Hire
The pay range for this position is generally $40,000 annually. Actual pay is based on various factors including but not limited to the successful candidate’s experience, skills, and knowledge. Additional bonus earning opportunities and benefits are also available.
Northwest is an equal opportunity employer. We are committed to creating an inclusive environment for all employees.
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Get Access To All JobsTips for Finding H-1B Visa Sponsorship in Associate Financial Advisor
Verify your degree field matches the role
USCIS requires your degree to directly relate to the duties of an Associate Financial Advisor position. A finance, economics, accounting, or business degree strengthens your petition. A degree in an unrelated field can trigger a Request for Evidence.
Look up the prevailing wage before negotiating
Your employer must pay at least the DOL prevailing wage for your SOC code and work location. Use the OFLC Wage Search to find the wage level before you receive an offer, so you can spot underpayment early in the process.
Target firms with dedicated compliance teams
Registered investment advisers and broker-dealers regulated by FINRA or the SEC are accustomed to employment documentation requirements. These firms have HR and legal infrastructure that makes the LCA certification and I-129 filing process faster and less error-prone.
Search Migrate Mate to find verified H-1B sponsors
Not every financial services firm files H-1B petitions. Use Migrate Mate to identify employers in your target city that have a documented history of sponsoring roles in this occupation, cutting out firms that have never navigated the process.
Confirm each worksite has its own certified LCA
If you rotate between branches or client offices, your employer must file a separate certified LCA for each worksite location. Raise this with HR before accepting an offer that involves multiple locations, since gaps in LCA coverage affect your legal work authorization.
Use O*NET to document specialty occupation duties
Pull the Associate Financial Advisor occupational profile from O*NET and compare it against your job description. USCIS evaluates whether the specific duties require at least a bachelor's degree in a related field, so alignment between your offer letter and the O*NET profile strengthens your petition.
H-1B Visa Associate Financial Advisor: Frequently Asked Questions
Does an Associate Financial Advisor role qualify as a specialty occupation for H-1B purposes?
Yes, the role typically qualifies. USCIS looks for positions that require at least a bachelor's degree in a directly related field as a minimum entry requirement. Associate Financial Advisor roles at registered investment advisers, banks, and broker-dealers routinely require degrees in finance, economics, accounting, or business, which satisfies the specialty occupation standard under the H-1B rules.
Which types of financial services employers are most likely to sponsor H-1B visas for this role?
Firms with established HR and legal infrastructure are the most reliable sponsors. That includes large broker-dealers, regional banks with wealth management divisions, registered investment advisers with institutional clients, and insurance companies with financial planning arms. Use Migrate Mate to browse employers in your target market that have an active H-1B filing history for financial advisory roles.
How long does H-1B status last for an Associate Financial Advisor, and can it be extended?
H-1B status is initially granted for up to three years and can be extended to a maximum of six years. Extensions beyond six years are possible only if your employer has filed a PERM labor certification or an immigrant visa petition that has been pending for at least a year, keeping the green card process on track matters if you plan to stay long-term.
What happens to H-1B status if I move to a different branch or advisory office?
Each new worksite requires its own certified Labor Condition Application filed with DOL before you begin working there. Your employer cannot transfer an existing LCA to cover a new location. If your firm assigns you to a different branch, confirm that a site-specific LCA has been certified and that USCIS has been notified through an amended I-129 petition where required.
Do I need FINRA licenses before my employer can file an H-1B petition for this role?
No, FINRA licenses are not a prerequisite for the H-1B filing itself. USCIS evaluates the degree requirement and specialty occupation standard, not professional licensing. That said, most employers require you to obtain licenses such as the Series 7 or Series 66 within a set period after hiring, so clarify the licensing timeline and employer support during the offer stage.