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Investment Advisor Representative

Position Summary

Responsible for the quality, growth and profitability of the bank’s non-deposit investment program. Provide leadership in the education and development of bank employees with the non-deposit investment program. Develop, manage and maintain long-term client relationships for the bank’s investment management and advisory business. Provide clients with a high level of individualized customer service, full service brokerage services and investment strategies consistent with their individual financial goals and needs. Strict adherence to FINRA and SEC policies and procedures to ensure compliance with securities regulations. Support and encourage cross selling of all bank products and services to ensure complete relationship banking to our clients.

Duties and Responsibilities

  1. Devise and execute business development strategies to attract and acquire new clients.
  2. Analyze clients’ financial needs, goals, sensitivity to risk and investment horizon.
  3. Advise clients regarding the advantages and disadvantages of different investment strategies.
  4. Create, implement, and continually review, a plan that includes strategies designed to help clients pursue their long-term goals.
  5. Act as the steward of the client’s  assets and achieve client satisfaction and loyalty through excellent service.
  6. Perform duties in a manner which will strictly adhere to FINRA and SEC policies and procedures to ensure full compliance with securities regulations.

To perform the job successfully, an individual should demonstrate the following competencies to perform the essential functions of this position.

  • Integrity – the individual possesses high ethical standards and expects the same from all others in the organization.
  • Judgment – the individual displays willingness to make decisions, exhibits sound and accurate judgment and makes timely decisions.
  • Collaboration – the individual should take initiative with internal COIs to work collaboratively developing referrals to and from the Bank.
  • Dedication – the individual should be committed to achieving results under demanding time frames.
  • Analytical – the individual synthesizes complex or diverse information.
  • Problem solving – the individual identifies and resolves problems in a timely manner and gathers and analyzes information skillfully.
  • Quality management – the individual looks for ways to improve and promote quality and demonstrates accuracy and thoroughness.
  • Planning/organizing – the individual prioritizes and plans work activities, uses time efficiently and develops realistic action plans.
  • Oral communications – the individual speaks clearly and persuasively in positive or negative situations, demonstrates group presentation skills and conducts meetings.
  • Safety and security – the individual actively promotes and personally observes safety and security procedures, and uses equipment and materials properly.

Additional Duties and Responsibilities:

  • Accomplishes all tasks as appropriately assigned or requested.


Experience, Competencies and Education

  • An experienced investment advisor representative with five plus years’ industry experience.
  • An energetic, forward-thinking and creative individual with high ethical standards and an appropriate professional image.
  • A well organized and self-directed individual who is “politically savvy” and a team player.
  • An intelligent and articulate individual who can relate to people at all levels and possesses excellent communication skills.
  • An individual who can exhibit a high degree of self-confidence and empathy.
  • An individual who has a competitive drive and is achievement oriented.
  • A decisive individual who possesses an entrepreneurial spirit and strong work ethic.
  • Bachelors Degree (BA/BS) or equivalent required; Series 7, 63 or 66 and Florida Life, Health and Variable Annuity licenses required; an MBA, JD, CPA or CFP is valued.

Language Skills:

  • Ability to read, analyze, and interpret the most complex theory.
  • Ability to respond effectively to the most sensitive inquiries or complaints.

Accountabilities and Measures:

  • Produce and meet established business development goals while achieving and maintaining regulatory soundness.
  • Develop, organize and maintain client account records.
  • Manage investment activities with no FINRA or SEC regulation violations.

Americans with Disability Specifications

Physical Demands
The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job.   Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

While performing the duties of this job, the employee is occasionally required to stand; walk; sit; use hands to finger, handle, or feel objects, tools or controls; reach with hands and arms; climb stairs; balance; stoop, kneel, crouch or crawl; talk or hear; taste or smell.  The employee must occasionally lift and/or move up to 25 pounds.   Specific vision abilities required by the job include close vision, distance vision, color vision, peripheral vision, depth perception, and the ability to adjust focus.

Work Environment
Work environment characteristics described here are representative of those that must be met by an employee to successfully perform the essential functions of this job.   Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

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