Financial Advisor - Raleigh, NC

TowneBank; Raleigh (NC); On-site; USD 85,000 - 120,000; Full time

Job summary

TowneBank in Raleigh, NC is seeking an Investment Advisor to provide tailored investment guidance to our members, manage client portfolios, and execute buy and sell orders.

You will maintain regular client communication, stay current on investment products, and ensure compliance with AML/BSA regulations while pursuing continuing education and maintaining required licenses such as Series 7/63/66 and Life Insurance.

Qualifications

• Licenses in Series 7/63/66 or equivalent and Life Insurance required or pursued.
• Strong understanding of investment products and risk, with ability to analyze client goals.
• Proven ability to provide appropriate investment recommendations.

Responsibilities

• Provide investment advice and suitable recommendations to clients.
• Provide timely execution of buy and sell orders.
• Maintain regular communication with clients to align goals with recommendations.
• Maintain all continuing education requirements and AML/BSA compliance.
• Adhere to regulatory standards and industry best practices.

Skills

Investment guidance

Client communication

Regulatory compliance

Portfolio analysis

Education

Series 7/63/66 licenses or equivalent + Life Insurance license

Tools

MS Word

MS Excel

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 of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform essential responsibilities.

Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities
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