Financial Advisor - Outer Banks, NC

FitzGerald Financial Group - Division of TowneBank Mortgage • Southern Shores, NC

2h

About The Position

The Financial Advisor provides investment advice and services to clients, making suitable recommendations based on each client’s goals, objectives, and financial standing. The role includes executing transactions, processing deposits, maintaining client communications, meeting continuing education requirements, and complying with broker-dealer and applicable anti-money-laundering regulations. TowneBank describes a culture centered on service to members, community reinvestment, and employee volunteerism.

Requirements

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

Nice To Haves

• Previous experience providing investment advice in a brokerage firm, a financial institution’s investment division, or an investment advisory practice.
• An existing client base.
• A documented production history.
• A clean compliance record.
• Complete competence in Microsoft Word, Excel, and Outlook.

Responsibilities

• Maintain a thorough understanding of investment products and services.
• Make suitable investment recommendations based on clients’ goals, objectives, and current financial standing.
• Ensure timely execution of buy and sell orders.
• Process check deposits and security deposits in a timely manner.
• Communicate regularly with clients to ensure their goals and objectives are understood and aligned with current investment recommendations.
• Maintain industry-required continuing education.
• Adhere to broker-dealer compliance standards.
• Comply with 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
• Education Level: No Education Listed