Financial Advisor - Charlotte, NC

Towne Family of Companies • Charlotte, NC

4d • Onsite

About The Position

TowneBank has a culture that is committed to exquisite service for its members, aiming for a reasonable rate of return for shareholders, a bright future for its dedicated bankers, and a leadership role in promoting the social, cultural, and economic well-being of the community. The bank is focused on giving back to the regions it serves, reinvesting deposits into the community through loans, and fostering growth and development. As a hometown bank, its family members, directors, and employees are active volunteers in local organizations.

This role involves having a thorough understanding of investment products and services, making suitable investment recommendations to clients based on their individual goals, objectives, and financial standing, and ensuring timely execution of buy and sell orders. The position also requires proper processing of check and security deposits, maintaining regular communication with clients to ensure alignment with their investment strategies, and completing all required industry continuing education. Adherence to all compliance standards set by the broker-dealer and obedience to applicable federal laws, rules, and regulations related to Anti-Money Laundering (AML), including the Bank Secrecy Act (BSA), are also essential.

Requirements

• 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

Nice To Haves

• 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

Responsibilities

• 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)

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: Associate degree