Financial Advisor - Charlotte, NC

Posted Yesterday
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Charlotte, NC, USA
In-Office
Mid level
Financial Services
The Role
Provide investment advice and recommendations, execute buy/sell orders, process deposits, maintain client communication and compliance, complete required continuing education, and follow AML/BSA regulations.
Summary Generated by Built In

TowneBank has a culture that:

  • 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.

Essential 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)

    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
This employer is required to notify all applicants of their rights pursuant to federal employment laws. For further information, please review the Know Your Rights notice from the Department of Labor.

Skills Required

  • Series 7, 63 and/or 66 (or equivalent) Life Insurance license
  • Strong educational background or equivalent professional experience analyzing investment portfolios
  • General computer skills including competence in Windows and MS Outlook
  • Previous experience providing investment advice in a brokerage firm, bank investment division, or advisory practice
  • Existing client base
  • Documented production history
  • Clean compliance record
  • Complete competence in Microsoft Word, Excel, Outlook

TowneBank Compensation & Benefits Highlights

The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about TowneBank and has not been reviewed or approved by TowneBank.

  • Leave & Time Off Breadth PTO, all federal bank holidays, and an extra birthday day off are highlighted, with paid parental leave also offered. Time off can be used for vacation, illness, caregiving, bereavement, and birth/adoption for both full- and part-time staff.
  • Wellbeing & Lifestyle Benefits Wellness initiatives include on-site screenings, fitness-club reimbursement, virtual fitness and mindfulness classes, and various employee discounts. An Employee Assistance Program and wellness resources support everyday wellbeing.
  • Retirement Support A 401(k) with employer contributions through Principal and retirement planning tools are provided. A standard match with full vesting over five years is noted.

TowneBank Insights

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The Company
Virginia
1,065 Employees
Year Founded: 1999

What We Do

Founded in 1999, TowneBank is a company built on relationships, offering a full range of banking and other financial services, with a mission of serving others and enriching lives. Dedicated to a culture of caring, Towne values all employees and members by embracing their diverse talents, perspectives, and experiences. Today, the bank operates over 40 banking offices throughout Hampton Roads and Central Virginia, as well as Northeastern and Central North Carolina – serving as a local leader in promoting the social, cultural, and economic growth in each community. Towne offers a competitive array of business and personal banking solutions, delivered with only the highest ethical standards. Experienced local bankers providing a higher level of expertise and personal attention with local decision-making are key to the TowneBank strategy. Towne has grown its capabilities beyond banking to provide expertise through its controlled divisions and subsidiaries that include Towne Investment Group, Towne Wealth Management, Towne Insurance Agency, Towne Benefits, TowneBank Mortgage, TowneBank Commercial Mortgage, Berkshire Hathaway HomeServices Towne Realty, Towne 1031 Exchange, LLC, and Towne Vacations. NOTICE TO CONSUMERS REGARDING MARYLAND LENDER LICENSEES: TowneBank is licensed to engage in business as a Maryland Mortgage Lender and assigned a unique NMLS identifier number: 512138. The NMLS Consumer Access Website is linked here: www.nmlsconsumeraccess.org Interested in joining the Towne Family? Available positions are listed at www.townebank.com/careers. TowneBank and its affiliate companies support a diverse workforce and are Equal Opportunity Employers who do not discriminate against individuals on the basis of race, color, religion, national origin, age, sex (including pregnancy and gender identity), genetics, sexual orientation, disability, veteran status or other classification protected by law.

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