Financial Advisor - NW Financial Advisors

Northwest Federal Credit Union Herndon , VA 20171

Posted 1 week ago

The Financial Advisor provides investment and insurance solutions to clients. The goal of the Financial Advisor is to work with the prospect or client to help them understand their current financial picture, anticipate future goals and needs, and develop solutions designed to meet those goals and needs.

Operating in Rockville, MD.


  • Maintain all licenses and professional designations in good standing. Adhere to the firm, regulatory and professional designation issuing bodies continuing education requirements

  • Contact prospects sent to you by referral or from seminars, events, etc. in a timely manner and schedule meeting

  • Meet with prospects to understand their current financial profile, their goals and objectives, income, net worth, risk tolerance, investment horizon, and other pertinent information

  • Utilize industry knowledge, continuing education, planning tools, product research, and professional advice to identify products and services to recommend

  • Present recommendations after determining and documenting their suitability

  • Prepare paperwork required to open accounts, review with clients and complete

  • Enter trades to execute the approved strategy

  • Monitor market conditions, individual product performance and client holdings to determine when changes to the portfolio's asset allocation and/or product substitution are warranted

  • Communicate with existing clients on a regular basis to review performance and determine if objectives have changed. Execute changes to their portfolio accordingly

  • Address any OSJ/Principal review questions and respond to any system notifications immediately

  • Abide by rules of all regulatory bodies including FINRA, SEC, states, etc.

  • Abide by the Written Supervisory Procedures of the firm and it's clearing broker/dealer and custodian

  • Maintain current knowledge of the industry and products used by attending vendor meetings and conference calls, reviewing literature and other publications

  • Gather all necessary client information for the CRM system and maintain client records in good order

  • Attend and participate in regular advisor, staff and training meetings

  • Present at seminars to NWFCU members, sponsor groups or others, as requested



  • The advisor must have a high degree of personal integrity, a commitment to excellent client service, and have effective time management skills
  • A clean FINRA Form U-4 is preferred
  • PC proficiency in Microsoft Office suite and experience with other industry technology tools is important


  • BA/BS in Finance, Business or like field with a minimum of two years work experience in the securities industry is preferred

  • A FINRA Series 7 and 66 (or 63/65) are required

  • A Life & Health insurance license is preferred

  • Willingness to ob

icon no score

See how you match
to the job

Find your dream job anywhere
with the LiveCareer app.
Mobile App Icon
Download the
LiveCareer app and find
your dream job anywhere
App Store Icon Google Play Icon

Boost your job search productivity with our
free Chrome Extension!

lc_apply_tool GET EXTENSION

Similar Jobs

Want to see jobs matched to your resume? Upload One Now! Remove
Senior Financial Analyst AWS Sales Marketing And Support

Amazon.Com, Inc.

Posted 7 days ago

VIEW JOBS 9/10/2019 12:00:00 AM 2019-12-09T00:00 Amazon seeks a Financial Analyst to support the AWS Worldwide Public Sector (WWPS) Sales group. The AWS Public Sector team is paving the way for innovation and supporting world-changing projects in government, education and nonprofit organizations. The successful candidate will help drive the growth of the Public Sector business by providing financial stewardship and analytical insights into key financial and operational performance metrics. This position on the WWPS Finance team will focus on managing financial rhythms of the business including: headcount and budget controllership, the annual operating plan, regular forecast process, month-end-close reporting and variance analysis, and analytical support for senior management. On the AWS Finance team you will be surrounded by people who are exceptionally talented, bright, and driven, and who believe world class support is critical to customer success. We take working hard, having fun, and making history seriously. This role requires a self-starter with a strong financial modeling background, advanced Excel abilities, problem solving skills, a keen attention to detail, an ability to work in a fast-paced environment with ambiguous situations, and project management skills. Key Responsibilities * Design and produce recurring financial reports (Headcount, Contractors, Travel and Entertainment, Revenue, and OpEx) for Finance and WWPS leadership. * Provide analytical insights, bridge variances from plan, and communicate business risks and opportunities. * Navigate multiple systems to dive deep and triangulate Revenue, Headcount, Productivity, OpEx, Usage, and Cash Flow trends. * Identify and quantify financial/operational Risks and Opportunities (R&O) to the business for short and long term forecasting processes. Amazon.Com, Inc. Herndon VA

Financial Advisor - NW Financial Advisors

Northwest Federal Credit Union