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.

DUTIES AND RESPONSIBILITIES:

  • 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

Requirements

QUALIFICATIONS:

  • 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

EDUCATION/EXPERIENCE:

  • 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

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Financial Advisor - NW Financial Advisors

Northwest Federal Credit Union