Financial Advisor - Raleigh, NC

About Us

TowneBank is committed to exquisite service for our members, aiming to create a reasonable rate of return for shareholders, a bright future for our dedicated bankers, and a leadership role in promoting the social, cultural, and economic well-being of our community. We focus on giving back to the regions we serve, reinvesting deposits into the community through loans to drive growth and development. As a hometown bank, our family members, directors, and employees actively volunteer and donate their time and talents to local organizations.

Responsibilities

• Develop a thorough understanding of investment products and services.
• Make suitable investment recommendations to clients based on their goals, objectives, and current financial standing.
• Ensure 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 align goals and objectives with current investment recommendations.
• Maintain all industry-required continuing education.
• Adhere to all compliance standards as required by the broker-dealer.
• Comply with all applicable federal laws, rules, and regulations relating to Anti-Money Laundering (AML), including the Bank Secrecy Act (BSA).

Requirements

• Series 7, 63, and/or 66 (or equivalent) licenses.
• Life Insurance license.
• 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.

Desired Skills

• Previous experience providing investment advice in 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, and 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 arms and legs, and sit most of the time.
• 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 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.