Investment Executive

SUMMARY

This position will assist clients by providing sound financial advice regarding Mutual Funds, Fixed Annuities, Variable Annuities, and Certificates of Deposit. Additionally, this position will advise clients of risks and opportunities associated with investing. This role will typically handle 100-150 clients with a Book of Business totaling between $5-million and $10-million. The incumbent will be responsible for generating new sales opportunities, developing relationships, sales of new products and maintaining consistent communication with all clients in the portfolio.

ESSENTIAL DUTIES AND RESPONSIBILITIES

• Effectively and ethically manage a book of business consisting of approximately 125 clients with assets under management of between $5-million and $10-million.
• Research securities products in order to provide sound information to clients as well as to maintain a current and strong knowledge of market conditions/trends.
• Process securities transactions for clients in accordance with all Federal, State, Local and Company laws/guidelines.
• Conduct regular client meetings and presentations.
• Generate new business leads independently.
• Partner with Branch personnel to prospect new clients and service existing clients.
• Handle incoming client inquiries via phone as well as email.
• Aid Senior Investment Executive with client presentations, material development and other duties as necessary.
• Handle some clerical duties (filing, faxing, etc.) as necessary.
• Complete all mandatory and elective training, including BSA (Bank Secrecy Act) and Anti-Money Laundering procedures. Maintain compliance with all appropriate rules and regulations.
• Regular, predictable attendance is an essential requirement of this position.
• Complete all other duties as assigned.