Financial Advisor - Charlotte, NC

TowneBank; Charlotte (NC); On-site; USD 80,000 - 120,000; Full time

Job summary

Qualifications

• Experience providing investment advice and portfolio analysis.
• Ability to tailor recommendations to client goals and financial standing.
• Strong knowledge of compliance and documentation requirements.

Responsibilities

• Provide investment recommendations to clients based on goals and current financial standing.
• Provide for timely execution of both buy and sell orders.
• Process check deposits and security deposits in a timely manner.
• Maintain regular communication with clients to ensure goals and objectives are understood and aligned with recommendations.
• Maintain continuing education and compliance with broker-dealer standards.
• Adhere to AML/BSA requirements and related regulations.

Skills

Series 7/63/66 license

Life Insurance license

Windows & MS Outlook

Tools

Windows

MS Outlook

Job description

• Has a commitment to exquisite service for our members that will lead to our ability to create a reasonable rate of return for our shareholders, a bright future for our dedicated bankers, and a leadership role for our bank in promoting the social, cultural, and economic well-being of our community.
• Is focused on giving back to the regions we serve. Our deposits are reinvested back into the community in the form of loans, resulting in billions of dollars of new growth and development.
• As a hometown bank, our family members, directors and employees are active volunteers, serving on numerous boards and donating their time and talents to local organizations.

Have a thorough understanding of investment products and services

Make suitable investment recommendations to clients based on knowledge of individual client goals, objectives and current financial standing

Provide for timely execution of both buy and sell orders

Properly process check deposits and security deposits in a timely manner

Maintain regular communication with clients to ensure goals and objectives are understood and in line with current investment recommendations

Maintain all industry required continuing education

Adhere to all compliance standards as required by broker-dealer

Obeys all applicable federal laws, rules, and regulations relating to Anti-Money Laundering (AML) including the Bank Secrecy Act (BSA)

Minimum Required Skills and Competencies:

• Series 7, 63 and/or 66 (or equivalent) Life Insurance license
• Strong educational background or equivalent professional experience conducive to providing advice and analyzing investment portfolios
• General computer skills to include competence in Windows and MS Outlook

Desired Skills and Competencies:

• Previous experience providing investment advice in either a brokerage firm, the investment division of a financial institution or an investment advisory practice
• Existing client base
• Documented production history
• Clean compliance record
• Complete competence in Microsoft Word, Excel, Outlook

Physical Requirements:

• Express or exchange ideas by means of the spoken word via email and verbally.
• Exert up to 10 pounds of force occasionally, use your arms and legs, and sit most of the time.
• Have close visual acuity to perform activities such as analyzing data, viewing a computer terminal, reading, and preparing documentation.
• Not substantially exposed to adverse environmental conditions.
• The physical demands described here are representative of those that must be met by an employee to successfully perform the essential responsibilities.

Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities
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