Investment Advisor

About the role

The Investment Advisor at State Bank is responsible for providing brokerage and investment services to clients. This role supports the Bank's business objectives through client relationship development, referral management, and adherence to regulatory, operational, and compliance standards.

Responsibilities

• Provides direct customer services relating to brokerage and trust products and services.
  • Responds in a timely manner to referrals from internal personnel and existing or prospective clients.
  • Establishes and maintains client relationships to support investment and service objectives.
  • Gathers and documents all required customer information, including suitability and risk assessment.
  • Maintains client files and records in accordance with internal policies and regulatory requirements.
• Establishes business and marketing activities to achieve goals and objectives:
  • Develops and executes a business and marketing plan to meet assigned production and service goals.
  • Participates in referral development and cross-selling activities within the Bank.
• Performs duties relating to the sale of brokerage and trust products:
  • Maintains appropriate licenses and registrations required to perform brokerage and insurance functions.
  • Provides brokerage services to customers in alignment with annual sales objectives and departmental plans.
  • Promotes Bank, trust, and brokerage services, with emphasis on investment and insurance products.
  • Accepts customers buy and sell orders for securities and completes transactions accurately and timely.
  • Handles incoming customer calls related to account activity, transactions, and service needs.
  • Communicates customer service needs and account issues to the home office and follows through to resolution.
  • Processes deposits of customer funds and securities.
  • Processes customer check disbursements as requested.
• Compliance and regulatory responsibilities:
  • Abides by the current laws and organizational policies and procedures designed and implemented to promote an environment which is free of harassment and other forms of illegal discriminatory behavior in the workplace.
  • Maintains active awareness of changes in laws, regulations, and compliance requirements affecting brokerage and insurance accounts.
  • Strictly adheres to compliance guidelines, ensuring all records are accurate, current, and audit-ready.
  • Complies with Bank policies and procedures supporting regulatory requirements including CRA, BSA, and ECOA.
• Communication, coordination, and reporting:
  • Collaborates with coworkers inside and outside the department to ensure operational efficiency and segregation of duties.
  • Communicates with management and staff to integrate goals, activities, and service delivery.
  • Responds to inquiries from customers, management, and staff within established timeframes and policies.
  • Maintains assigned records and produces required reports, including sales and activity reports.

Qualifications

• Minimum of four (4) years of experience in a brokerage, financial services, banking, or related advisory role preferred.
• Strong knowledge of brokerage, investment, insurance, and trust products.
• Working knowledge of FINRA, SEC, and applicable state regulations.
• Ability to assess client financial objectives, risk tolerance, and suitability.
• Strong client service, relationship management, and consultative sales skills.
• Effective verbal and written communication skills.
• Attention to detail with strong documentation and record-keeping abilities.
• Ability to maintain confidentiality of sensitive customer and Bank information.
• Basic to intermediate proficiency in computer systems and brokerage platforms.
• Ability to obtain and maintain all required licenses and registrations.
• Valid driver’s license and ability to travel within the Bank’s footprint.

Skills

• Strong knowledge of brokerage, investment, insurance, and trust products.
• Working knowledge of FINRA, SEC, and applicable state regulations.
• Ability to assess client financial objectives, risk tolerance, and suitability.
• Strong client service, relationship management, and consultative sales skills.
• Effective verbal and written communication skills.
• Attention to detail with strong documentation and record-keeping abilities.
• Ability to maintain confidentiality of sensitive customer and Bank information.
• Basic to intermediate proficiency in computer systems and brokerage platforms.
• Ability to obtain and maintain all required licenses and registrations.
• Valid driver’s license and ability to travel within the Bank’s footprint.

Benefits

State Bank offers opportunities to grow your career within a strong, stable, and expanding organization. Financial rewards include opportunities for career advancement and competitive compensation packages.

Pay

Compensation is commensurate with experience and qualifications.

Schedule

Hours are flexible to accommodate the needs of the client base and the Bank’s operations.