Experience and Skills
* Bachelor’s degree in finance, accounting, economics or equivalent work experience. MBA, CPA, or CFA preferred.
* Successful completion of the Series 7 and Series 63 exams.
* Seasoned knowledge of the securities industry, its operations and its products to include stocks, bonds, margin accounts, options, various retirement plans (IRA’s, Simple, Roth) mutual funds, annuities.
* In-depth knowledge of investments and regulatory policies and procedures.
* In-depth knowledge and practical ability to analyze stocks and portfolios and select appropriate investments for individual clients.
* Proficient computer skills (including Microsoft Word, Excel and Outlook.).
* Advanced math, problem solving and analytical skills.
* Strong interpersonal, customer service skills. Ability to build and maintain relationships and handle multiple and complex client situations.
* Good organizational skills and attention to detail. Ability to independently manage multiple demands and competing priorities
* Results oriented and highly motivated.
* Ability to work in a fast-paced, deadline-oriented environment.
* Ability to work effectively as part of a team; mentor others - serve as a role model.
* Follow policies and procedures. Maintain client confidentiality.
* Communicate in a clear and service oriented manner. Use appropriate, professional language and grammar to effectively exchange ideas and information.
* Ability to proactively work with both external and internal clients. Relate with others in a professional manner in order to accomplish work responsibilities and objectives.
* Ability to maintain regular, predictable attendance.
* Develop and implement methods to prospect for new clients in accordance with team strategies.
* Open new accounts and gather assets within the team structure.
* Build and maintain an ongoing professional relationship with clients. Understand the client’s investment objectives, tolerance for risk and financial situation. Conduct in-depth analyses of client portfolios and potential suitable investments.
* Select investments based on sound research and the client’s investment objectives. Contact clients on own initiative and use independent judgment to recommend investment strategies.
* Know, understand and follow all policies, procedures, rules and regulations of the Firm as well as the various regulatory agencies. Ensure that clients also comply with rules and regulations. Anticipate potential issues and/or problems and use independent judgment to take appropriate action and/or to alert respective investment executive and/or branch management as necessary.
* Keep informed of all pertinent information and activity related to a client’s account and transactions to include issues related to client suitability. Apply knowledge to initiate actions related to client accounts.
* Achieve and maintain a solid understanding of all product categories to include managed accounts, complicated retirement accounts and annuities and their impact on a client’s portfolio.
* Provide work direction to assistants and/or other team members. Assist in coordinating workflow within the team structure. May train, coach and mentor others in the branch.
* Actively seek out and maintain a sophisticated knowledge base of all products, services, forms and systems.
* Perform any other duties and special projects as necessary! Including solving problems in client accounts, processing paperwork, taking unsolicited orders and preparing correspondence.
We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, sex, gender, gender expression, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.