The Financial Advisor provides investment advisory services for clients of Northwest Financial Advisors (NWFA). They create tailored investment strategies to help clients grow, protect, and preserve their assets and by providing independent, objective advice and professional investment management using a comprehensive life-planning approach. Financial Advisors provide financial planning and investment management for clients and utilize financial planning software, in addition to meeting with prospects, opening and servicing accounts and placing trades.
Responsibilities
Contact prospects as referrals are assigned in the CRM from various lead sources (NWFCU employees, website, webinars, etc.)
Conduct prospect meetings to gather necessary financial information, assess their unique goals and determine what their needs are
Participate in NWFCU branch huddles and provide other training as needed to branch staff to assist with educating on providing referrals
Prepare financial plans, as necessary, utilizing financial planning software
Maintain accurate records in CRM system related to opportunities assigned
Prepare paperwork to open/service accounts and ensuring all paperwork is in good order
Places trades as necessary
Searches for cross-sell opportunities back to the credit union or subsidiaries based on the client's needs
Maintains compliance with all NWFA and broker-dealer policies and procedures, and all rules set forth by FINRA, SEC and applicable state regulators
Collaborate with team members within NWFCU to develop relationships to generate opportunities, work COI and establish relationships within the community
Engage with NWFA marketing on webinar content and other business development ideas
Adhere to Bank Secrecy Act (BSA) regulations and all related Credit Union policies and procedures
Qualifications
Required
Bachelor's Degree; within the financial services field is preferred
A FINRA Series 7 and 66 (or 63/65)
Minimum of 5 years' work experience in the investment industry
An active Life and Health Insurance license (may be obtained within a 120 days of employment)
Strong client relationship-building experience
Ability to use standard office equipment and systems; working knowledge of Microsoft Office suite of products, especially Word and Excel
Ability to demonstrate a deep understanding of financial markets and can effectively simplify complex financial concepts while building relationships with clients
Strong organizational skills
Ability to work independently and effectively manage multiple tasks at one time while meeting deadlines
Clean SEC and FINRA record
Must be able to work the hours of M-F 8am-4:30pm
Preferred
Designations such as CFP® or ChFC, willingness to obtain CFP® designation is desired
EEO Notice
Northwest Federal Credit Union is an Equal Opportunity Employer and will consider all qualified applicants without regard to race, color, age, religion, sex, sexual orientation, gender identity, genetic information, national origin, disability, protected veteran status or any other classification protected by law.
NWFCU complies with federal and state disability laws and makes reasonable accommodations for applicants and employees with disabilities. If reasonable accommodation is needed to participate in the job application or interview process, to perform essential job functions, and/or to receive other benefits and privileges of employment, please contact the Human Resources Department at 703-709-8900 or HRDepartment@nwfcu.org.
