Overview
This position is responsible for executing on brokerage investment strategies in partnership with the Wealth Management team. Collaborates on strategies that enhance portfolio returns in line with client risk profile. Assists in the development and management of investment relationships focused on clients and prospects with over one million in investable assets. Presents investment recommendations to clients or prospects, providing expert consultation and ongoing service, while ensuring compliance with all applicable regulations.
Responsibilities
- Investment Brokerage - Executes brokerage investment strategies in partnership with associates who advise and manage client portfolios. Handles client investments on the brokerage platform, including brokerage and managed account products. Maintains a strong current knowledge of brokerage practices, investment strategies, and market conditions.
- Client Service - Presents investment recommendations based on the client's needs, financial goals, and risk tolerance. Reviews investments, portfolios, strategies, and goals on a regular basis to ensure effective wealth management. Implements changes to clients' investments as needs or market conditions change.
- Collaboration - Partners with other associates on administering investment-oriented client relationships, managing client communications, and service responsiveness. Coordinates aspects of service across team to ensure a satisfactory client experience.
- Risk Management - Ensures compliance with all applicable banking, investment, and legal regulations and policies.
Qualifications
Bachelor's Degree and 6 years of experience in Registered Securities Representative OR High School Diploma or GED and 10 years of experience in Registered Securities Representative.
License or Certification Type: Possess valid Series 7, 63, 65 or 66, and state-specific life and health insurance licenses Required.
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