Investment Advisor
Navy Federal Credit Union is dedicated to providing financial services to its members, and they are seeking an Investment Advisor to assist clients in identifying their financial goals through consultations. The role involves providing investment expertise, managing accounts, and developing business relationships to promote NFIS products and services.
Responsibilities
- Provide investment industry expertise to client investment consultations and servicing of life insurance and full suite of investment products
- Administer and document account activity and execution in accordance with NFFG process and procedures and FINRA, NASAA, SEC regulations
- Conduct review of accounts to communicate account status, explain activities and inform clients of new offerings
- Develop an internal pipeline for smaller dollar volume accounts in compliance with Navy Federal and NFIS policies and procedures
- Establish, maintain, and develop business relationships with members and internal/external sources
- Execute customer and broker purchase/sales orders of securities for current/new clients
- Identify prospective participation partners/opportunities through prospect calling, networking, and leveraging existing participation business
- Keep current with legislative and industry updates to identify areas for market growth/opportunities, and/or potential concerns impacting NFIS clients and/or business environment
- Monitor accounts to ensure accurate processing, identify discrepancies, errors/concerns and take remedial actions
- Monitor, track and report performance of individual sales plans and assigned strategies for leadership
- Participate in site audits of registered duties, ensuring documentation and processes comply with Navy Federal standards and FINRA, NASAA, SEC and other regulatory agencies
- Prepare standard/special reports required by FINRA, NASAA and SEC, and participate in industry and/or internal audits
- Perform other duties as assigned or appropriate
Skills
- FINRA Series 7 and combination of NASAA Series 63/65 or 66 registration required
- Effective analytical, decision-making, problem-solving and organizational skills Exercises initiative using good judgment to make sound decisions
- Effective interpersonal, verbal, and written communications skills
- Effective planning, organizational, time management and problem-solving skills
- Effective skill building relationships through rapport, trust, diplomacy, and tack
- 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
- Ability to obtain appointment by the sponsoring insurance company, broker-dealer and/or Registered Investment Advisory Firm
- Experience in business development to include market strategy, product demonstration and promoting products and services
- Experience consulting with customers to assess their financial status and identify investment needs
- Effective knowledge of investment and insurance products
- Effective knowledge, to interpret industry related laws and government regulations
- Proficiency with PCs and spreadsheet, database, word processing applications, and financial analysis software
- Understanding of economic and accounting principles, practices, financial markets, banking, analysis, and reporting of financial data
- Bachelor's degree in Business Administration, Finance or Management or related discipline or related professional experience
- Knowledge of Navy Federal/NFFG organization, programs, policies and, procedures
- Desire to pursue designations e.g. CFP, ChFC, CLU
Company Overview
Company H1B Sponsorship