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Senior Investment Consultants are primarily responsible for consulting with clients and prospects to determine course of action(s) designed to help meet their financial and investment goals. This position is primarily focused on high net worth clients and prospects. This role focuses high-net worth, and ulta high-net worth segments to include private bankers and licensed bankers.
ESSENTIAL DUTIES & RESPONSIBILITIES:
- Contact existing and prospective clients to assess their investment needs, acceptable risk level, develop an action plan and present solutions. Compiles lists of prospective clients to provide leads for additional business.
- Use a consultative sales process to determine client needs, obtain commitment and propose solutions with assistance Manager as needed. Discusses benefits and risks as well as other product features pertaining to possible investment solutions for the client.
- Develop individualized financial plans aligned to each client’s financial needs and objectives.
- Makes full disclosures required in conjunction with selling non-deposit investment products on bank premises.
- Discusses benefits and risks as well as other product features pertaining to possible investment solutions for the client.
- Ensure accurate completion of all paperwork in compliance with company guidelines, prospectus delivery obligations, and fiduciary standards.
- Receives trade orders and instructions for money movement and processes according to regulatory requirements.
- Assists and supports in meeting their referral and investment goals by organizing call parties, client appreciation days, etc.
- Participates in community affairs to increase company and bank’s visibility and to enhance new business opportunities.
- Routinely travels with assigned region to meet with clients at different Financial Centers and/or client’s office or other location as requested by the client.
SUPERVISORY RESPONSIBILITIES:
No
MINIMUM REQUIRED EDUCATION, EXPERIENCE & KNOWLEDGE:
- Bachelor's degree preferably in Business, Finance, Accounting or related field
- 7 years of related experience in brokerage, insurance, or financial services or banking. An equivalent combination of education, training, and experience may be considered
- 5 years of experience prospecting and providing investment advice to clients that meet the criteria to be considered high net worth individuals
- Must currently possess Life and Health Insurance license and be in good standing
- Must currently possess Securities Industry Essentials (SIE), series 7 and series 66 license and be in good standing. A current series 63 and 65 registration can substitute for series 66
- A proven track record over past job performance selling products that generate fee income over time
- Ability to learn, understand and communicate all investment products and procedures of the company
- Ability to identify selling opportunities to up-sell and cross-sell bank products and services
ESSENTIAL MENTAL & PHYSICAL REQUIREMENTS:
- Ability to travel if required to perform the essential job functions.
- Ability to work under stress and meet deadlines.
- Ability to operate related equipment to perform the essential job functions.
- Ability to read and interpret a document if required to perform the essential job functions.
- Ability to lift/move/carry approximately 10 pounds if required to perform the essential job functions. If the employee is unable to lift/move/carry this weight and can be accommodated without causing the department/division an “undue hardship” then the employee must be accommodated; hence omitting lifting/moving/carrying as a physical requirement.
Equal Opportunity/Affirmative Action Employers. All qualified applicants will receive consideration for employment without regard to race, color, religious beliefs, national origin, ancestry, citizenship, sex, gender, sexual orientation, gender identity, marital status, age, physical or mental disability or history of disability, genetic information, status as a protected veteran, disabled veteran, or other protected characteristics as required by federal, state and local laws.
