Investment Executive

Essential Responsibilities

• Develops and maintains relationships with clients, understanding their investment objectives and risk tolerance
• Provides financial advice and recommendations to clients, ensuring their investment portfolios align with their goals
• Executes investment transactions on behalf of clients, ensuring trades are accurate and timely
• Maintains and analyzes market trends, economic data, and industry news to identify investment opportunities
• Identifies and pursues new business opportunities and collaborates with Bank personnel to generate appropriate referrals ensuring that the financial needs of the customer have been met and that recommendations have been made in the best interest of the client
• Stays informed about products and services offered by the company, as well as industry regulations, industry market conditions, product and service trends, tax law changes, and compliance requirements
• Identifies, advocates for, develops and implements improvements as needed
• Provides exceptional customer service by responding to client inquiries and resolving any issues or concerns in a timely manner
• Collaborates with account managers to develop, construct, and present proposed investment portfolios to clients and prospects
• Completes appropriate documentation as required by the Bank and broker-dealer and maintains a full working knowledge of various software packages to enhance business development, client service and operational processes
• Ensures that they are operating in compliance with all applicable regulations, policies, procedures, and the Bank’s standards of conduct
• Represents the bank by participating in community affairs, clubs and organizations to assess the needs of the community, enhance the bank’s visibility and increase new business opportunities

Requirements

• Strong initiative that drives results and negotiation skills to initiate, develop and secure relationships with new and existing clients, track record of successful sales and service performance in the investment services business
• Extensive knowledge of investment and insurance products and services and their application and appropriateness to individual customer needs and goals
• Ability to motivate people and communicate effectively through excellent interpersonal skills; strong presentation, written and verbal communication, and skills to address potential and existing client issues and communicate with a wide variety of clientele

Qualifications

• Bachelor’s Degree in Related Field, preferably business, finance, or accounting. MBA desirable
• Five to ten years’ experience in a bank investment services program, brokerage RIA or directly related field, with client relationship business development responsibilities
• FINRA SERIES 7, Series 63, series 65/66 licensures required
• Comprehensive knowledge of investment principles and financial products required
• Must demonstrate a working knowledge of trust and estate matters
• Ability to maintain confidentiality, with tact and diplomacy