Financial Advisor - Charlotte, NC

United States·Charlottemid

OtherFinancial Advisor

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Quick Summary

Key Responsibilities

Have a thorough understanding of investment products and services Make suitable investment recommendations to clients based on knowledge of individual client goals,

Requirements Summary

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.

Technical Tools

OtherFinancial Advisor

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.

Responsibilities

~1 min read

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Have a thorough understanding of investment products and services
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Make suitable investment recommendations to clients based on knowledge of individual client goals, objectives and current financial standing
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Provide for timely execution of both buy and sell orders
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Properly process check deposits and security deposits in a timely manner
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Maintain regular communication with clients to ensure goals and objectives are understood and in line with current investment recommendations
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Maintain all industry required continuing education
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Adhere to all compliance standards as required by broker-dealer
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Obeys all applicable federal laws, rules, and regulations relating to Anti-Money Laundering (AML) including the Bank Secrecy Act (BSA)

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

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

Requirements

~1 min read

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.