Investment Executive

Requirements

• 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
• Assist Senior Investment Executive with client presentations, material development and other duties as necessary
• Some travel between branch offices and/or client residences can be expected
• 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.