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Licensed Investment and Banking Advisor 


Allegacy Federal Credit Union

Employee Job Description


Job Title: Licensed Investment and Banking Advisor


Reports to:


General Accountability


The primary purpose of this position is to assist Allegacy Federal Credit Union in living out our Brand Promise: We’ll always do the right thing for your Wellbeing. To achieve this goal, the employee shall live out the Allegacy Behaviors while providing World Class Member Service to both internal and external members. This position is an integral team member of the Allegacy Investment Group whose primary responsibility is to actively identify and engage both members and non-members identified as High Net Worth (HNW) potential and to enhance the personal and financial wellbeing of these individuals, their families, and their friends and co-workers. This will be accomplished by employing any and all resources of the credit union.


Nature and Scope


This position must understand the capabilities of Allegacy’s “three-legged” revenue and service providers: Retail, Allegacy Investment Group, and Allegacy Business Services and work to leverage them to benefit the member’s wellbeing. Additionally, the position holder shall possess the ability to uncover/identify member assets, liabilities, needs, goals, and objectives and to make referrals to the appropriate credit union resource(s). This position is responsible for meeting the monthly goals set by the reporting manager. These goals include, but are not limited to, invested dollars, deposits, loans, and referrals. This position also acts as a liaison for community and member related events.


Specific Accountabilities

  • Recruit, serve, and maintain mass affluent credit union member relationships, highlighting Allegacy’s distinct approach to holistic financial care, broad expertise and thorough service offerings
  • Develop and sustain future pipeline of new members through participation in community events, marketing initiatives, networking, and by generating referrals from clients and other business lines
  • Provide sound financial advice through a process-driven approach to financial planning that includes understanding member goals; performing an analysis; presenting strategies; implementation of the plan; and providing ongoing member reviews
  • Serve as a liaison among all lines of business to deepen the member relationship (Allegacy Investment Group, Retail Banking, Business Services, Insurance, Mortgage Lending, Business Development)
  • Maintain ongoing relationships with members including no less frequent than annual relationship planning activities
  • Build branch relationships and support branch staff within a defined territory to uncover the needs of our members through meaningful conversations
  • Deliver consistently exceptional service to members, teammates, and prospects
  • Achieve production and referral goals through the recommendation of suitable banking and investment products, insurance solutions, and other services to meet the goals, time horizon, and member’s tolerance for risk


Knowledge, Skills and Abilities


  • Knowledge of financial planning process as defined in the standards for Certified Financial Planners®
  • Knowledge of the potential revenue sources related to deposits, loans, and financial planning products
  • Commitment to personal and professional development to enhance success of the credit union
  • Commitment to learn from and implement ideas from both internal and external resources so to improve the services provided
  • Commitment to continual training on products and services offered through Allegacy Investment Group and the credit union so to enhance the financial wellbeing of our members
  • Excellent problem solver
  • Excellent teaching skills with the ability to make the complex simple
  • Superior presentation and organizational skills
  • Strong written and verbal communication skills
  • Is a self-starter and can work well collaboratively
  • Sales and relationship driven
  • Advanced level of performance and requires minimum supervision
  • Ability to operate in highly confidential arena


Position Requirements



  • FINRA Series 7 and 65 or 66 required
  • Insurance licenses required: Life, Health, and Long-term Care
  • Bachelor’s degree in economics or finance preferred
  • Five years’ experience in financial services (banking and/or financial advising)
  • Working knowledge of financial statements
  • Working knowledge of structuring and underwriting loans
  • Proficient in Microsoft Excel, Word, and PowerPoint
Full-Time/Part-Time Full-Time  
Close Date  
Exempt/Non-Exempt Exempt  
Location Charlotte  
About the Organization Do you get a thrill out of helping people realize their dreams? Do you believe that strong, personal relationships are critical to financial success? Do you want to work for an organization that has its community's best interests at heart? We do, too. That's why we work for Allegacy. Here, you'll find a challenging, rewarding career in one of the most unique entities of the financial industry. Allegacy Federal Credit Union is a place where inclusion and camaraderie thrive, and where everyone is united in their commitment to serving our members.

EOE Statement We are an equal employment opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, national origin, disability status, protected veteran status or any other characteristic protected by law.  
Pay Grade None Specified 

This position is currently accepting applications.

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Posted on: 2/13/2024
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