Financial Advisor - Charlotte, NC

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)
• 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

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