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Financial Advisor, CFP

Company: Vanguard
Location: Charlotte
Posted on: October 12, 2018

Job Description:

To provide one-time advice, as well as ongoing relationship and portfolio management to a diverse array of clients. To communicate our investment philosophy and recommendations in a clear and concise manner and to work well within a collaborative team environment.Duties and Responsibilities

1. Develops a thorough understanding of each client's financial situation in order to create and deliver a suitable strategy based upon Vanguard's investment philosophy. Educates clients and provides investment strategies to achieve client's goals. Identifies the appropriate risk tolerance, discuss appropriate savings or spending strategies and provide additional financial planning solutions as needed. Provides both verbal and written plans to communicate the recommended strategies following department guidelines.

2. Manages client portfolios on an ongoing basis and continues to build and retain your assigned client base. Conducts periodic reviews of portfolios and provide appropriate reports addressing client's ongoing advisory needs.

3. Provides one-time advice to clients as appropriate for the client situation.

4. Demonstrates advanced Client Relationship Management (CRM) skills along with strong verbal and written communication skills.

5. Participates in the business development process as needed with prospective clients to deepen relationships and determine appropriate advice solution.

6. Initiates and implements the agreed upon investment strategy; complies with Vanguard methodology and investment guidelines; documents and maintains organized client files which meet department compliance standards.

7. Utilizes department tools and technology to provide the optimal client experience.

8. Works collaboratively and demonstrate strong participation in a team environment.

9. Focuses on professional development by maintaining an in-depth understanding of financial planning, capital markets and the financial services industry. Stays abreast of significant changes or developments (e.g. taxation, regulatory, legal, competitive ) within the financial services field. Maintains all required licenses and designations.

10. Maintains an in-depth understanding of compliance, regulatory and departmental policies and procedures.

11. Continuously identifies process improvement opportunities along with business solutions.

12. Participates in special projects and perform other duties as assigned.


  • Undergraduate degree or equivalent experience.
  • Certified Financial Planner designation required.
  • Minimum of three years related financial planning and client relationship management experience.
  • FINRA Series 7, 65 and 63 licenses (or ability to obtain within 120 days of assuming position)
  • Track record of increasing responsibilities and success in prior roles.
  • Strong investment orientation and interest in providing asset management.
  • Excellent writing, speaking and Client Relationship Management skills.
  • Positive attitude with the ability to effectively manage change in an ambiguous environment.
  • Ability to work independently and as a team member, balances multiple responsibilities simultaneously, and demonstrates exceptional time-management skills.

    Special Factors

    Occasional travel may be required to Vanguard sites or local/national professional conferences.

    Vanguard is not offering visa sponsorship for this position.

    Keywords: Vanguard, Charlotte , Financial Advisor, CFP, Accounting, Auditing , Charlotte, North Carolina

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