- Administer and document basic account activity and execution per NFFG process and procedures and FINRA, NASAA, SEC regulations
- Conduct periodic review of accounts to communicate account status, explain activities and keep clients aware of new offerings
- Develop a beginning pipeline of internal/external referral sources in compliance with Navy Federal policies and procedures and guidelines
- Establish, maintain, and develop basic business relationships with members and internal/external sources in assigned territory, moving towards more complex relationships as experience is gained.
- Execute customer and broker purchase /sales orders of securities for current/new clients
- Focus consulting for products and services supported by Registered Investment Advisory Firm in support of current market/ industry shift to managed assets and align with member needs
- Identify prospective participation partners/opportunities through prospect calling, networking, and leveraging existing participation business
- Under some supervision, proactively remain current with research legislative and industry updates to identify areas for market growth/opportunities, and/or potential concerns impacting NFFG clients and/or business environment
- Monitor accounts to ensure accurate processing, identifies discrepancies, errors/concerns and take remedial actions
- Monitor, track and report performance of individual sales plans and assigned strategies
- Participate in development and implementation of new/enhanced processes and financial planning
- Participate in on-site audits of registered duties, documentation, and processes in order to comply with Navy Federal standards and FINRA, NASAA, SEC and other regulatory agencies
- Perform in-depth on-going research to acquire new accounts in assigned territory to increase market share
- Plan/conduct life insurance and investment seminars and initiates cross marketing for clients and prospects to grow market penetration of NFFG product services
- Prepare standard/special reports required by FINRA, NASAA and SEC, participates in industry and/or internal audits under some supervision
- Provide basic investment consultation related to investment products, life insurance services and related quotes, document preparation and required regulatory filings
- Provide basic investment industry expertise to client investment consultations and servicing of investment products, stocks, bonds, annuities, mutual funds, managed accounts, and related securities
- Performs other dues as assigned
- Basic understanding of economic and accounting principles and practices, financial markets, banking and analysis and reporting of financial data
- Basic knowledge of investment and insurance products
- Basic knowledge to interpret industry related laws and government regulations
- Experience in business development to include market strategy, product demonstration and promoting products and services
- Basic experience consulting with customers to access their financial status and identify investment needs
- Basic experience working as an adult facilitator, trainer, development coach, and/or internal consultant
- FINRA Series 7 and combination of NASAA Series 63/65 or 66 registration required. Life & Health Insurance License preferred (or the ability to obtain within 90 days of hire)
- Appointment by the sponsoring insurance company, broker-dealer and/or Registered Investment Advisory Firm
- Willingness to pursue CFP, ChFC, or CLU designation after one year of successful employment
- Strong analytical, decision-making, problem-solving and organization skills
- Skill exercising initiative and using good judgment to make sound decisions under some supervision and direction
- Strong interpersonal, verbal, and written communications skills
- Effective planning, organizational, time management and problem-solving skills
- Effective skill building effective relationships through rapport, trust, diplomacy, and tact
- Effective skill exercising initiative and using good judgment to make sound decisions
- Effective skill presenting findings, conclusions, alternatives, and information clearly and concisely
- Effective skill to influence, negotiate and persuade to reach agreeable exchange and positive outcomes
- Proficiency with PCs and spreadsheet, database, word processing applications, and financial analysis software tools
- Bachelor's degree in Business Administration, Finance or Management or related discipline or related professional experience
- Advanced knowledge of Navy Federal's functions, philosophy, operations, and organizational objectives
- In pursuit of designations e.g., CFP, ChFC, CLU
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Financial Advisor - North Charleston, United States - Navy Federal Credit Union
Description
OverviewTo provide basic financial consulting services to assist members and non-members with identifying their financial goals and objectives. Acts as a catalyst for the promotion and growth of NFFG products and services. Recommends appropriate mixture(s) of insurance/investment products and services to achieve the financial client's goals as a registered representative/advisor/agent of Navy Federal Financial Group (NFFG) and subsidiaries, or incumbent financial firms. Manages moderate dollar volume and moderate member bases.
This position is eligible for the TalentQuest employee referral program. If an employee referred you for this job, please apply using the system-generated link that was sent to you.
Responsibilities
Location: 7255 Rivers Avenue, North Charleston, SC 29406
*As part of our Hybrid work model, expected to be onsite 2 days a week. NO REMOTE.
Salary Range: $55,000 - $75,000 annually (Base Pay + Variable Compensation Pay + Annual Incentive)
About Us
You have goals, dreams, hobbies, and things you're passionate about-what's important to you is important to us. We're looking for people who not only want to do meaningful, challenging work, keep their skills sharp and move ahead, but who also take time for the things that matter to them-friends, family, and passions. And we're looking for team members who are passionate about our mission-making a difference in military members' and their families' lives. Together, we can make it happen. Don't take our word for it:
• Military Times 2022 Best for Vets Employers
• WayUp Top 100 Internship Programs
• Forbes 2022 The Best Employers for New Grads
• Fortune Best Workplaces for Women
• Fortune 100 Best Companies to Work For
• Computerworld Best Places to Work in IT
• Ripplematch Campus Forward Award - Excellence in Early Career Hiring
• Fortune Best Place to Work for Financial and Insurance Services
Equal Employment Opportunity: Navy Federal values, celebrates, and enacts diversity in the workplace. Navy Federal takes affirmative action to employ and advance in employment qualified individuals with disabilities, disabled veterans, Armed Forces service medal veterans, recently separated veterans, and other protected veterans. EOE/AA/M/F/Veteran/Disability EOE/AA/M/F/Veteran/Disability
Disclaimers: Navy Federal reserves the right to fill this role at a higher/lower grade level based on business need. An assessment may be required to compete for this position. Job postings are subject to close early or extend out longer than the anticipated closing date at the hiring team's discretion based on qualified applicant volume. Navy Federal Credit Union assesses market data to establish salary ranges that enable us to remain competitive. You are paid within the salary range, based on your experience, location and market position
Bank Secrecy Act: Remains cognizant of and adheres to Navy Federal policies and procedures, and regulations pertaining to the Bank Secrecy Act.
