Investment Representative Sr

Responsibilities

• Reports to the VP, Landmark Investment Center.
• Responsible for selling investment products and services and cultivating relationships with members and potential members of Landmark Credit Union.
• Evaluates and advises on financial markets and business development, by telephone and directly, with operational staff of credit union, fund/insurance companies, LPL’s home office and the clients and potential clients of Landmark Investment Center.
• Holds initial client meetings to gather information necessary to make investment recommendations based on client’s goals, risk tolerance and time frame.
• Holds follow‑up review meetings with clients at least annually.
• Adds notes to client files and enters information in contact management software.
• Fields routine telephone inquiries from clients and fund companies, records all conversations using contact management software.
• Performs research and makes inquiries on client accounts with fund and insurance companies as well as LPL’s home office.
• Processes securities trades in client accounts.
• Handles client mailings and prepares client correspondence.
• Prepares financial plans for clients.
• Reviews and monitors client statements.
• Prepares review statements for client review meetings.
• Prepares client applications, proposals and other necessary forms.
• Holds investment related seminars for educational purposes.
• May need to coach a Junior Investment Representative.
• Performs other duties as assigned.

Requirements

• High school diploma or equivalent combination of education and experience.
• Minimum of 2 years experience as a registered representative.
• Approved to operate as a registered representative of a broker/dealer affiliated with Landmark Credit Union and must adhere to that broker/dealer’s policies and procedures when working with securities products.
• Must hold a Wisconsin Life Insurance License and Series 7 & 63 Securities Licenses.
• Must have experience or be able to gain proficiency in all programs and systems used for this job.
• Must possess a thorough understanding of industry policies and procedures as they relate to this position.
• Must understand and comply with all job‑related state and federal laws and regulations.

Skills

• Excellent verbal and written communication skills.
• Problem‑solving skills.
• Organizational skills.
• Ability to work independently.