Facilitate the sales and service of securities, annuities, registered investment advisory products and life insurance to qualified buyers. Expand client relationships by emphasizing the origination of new business, expanding current business and providing excellent product delivery and service.
Direct Management Received:
Director, Retail Investments
Direct Management Exercised:
Essential Duties and Responsibilities:
1. Coordinate sales appointments, make presentations and complete all necessary paperwork on successful sales, including the deposits into the designated Broker/Dealer sweep account.
2. Initiate paperwork involving cancellations, surrenders, and/or partial withdrawals.
3. Maintain effective relationships with financial institution branch personnel in assigned territory, includes facilitating meetings, answering question and leading training efforts with branch personnel as needed.
4. Meet activity and production goals as established, including developing within existing book of business.
5. Continuously work to establish and enhance existing customer and business referral relationships.
6. Identify and match client needs with products and services.
7. Comply with all of the rules, regulations and policies of the designated Broker/Dealer, all State and Federal securities regulators and self-regulatory organizations.
8. Serve as secondary contact with existing investment center clients.
9. Respond timely to client and prospect requests.
10. Assist in the development of an annual sales plan.
11. Collaborate with customers to review personal financial goals and provide consultation on investment portfolio.
12. Process security transactions through the designated Broker/Dealer as requested by customer.
13. Maintain proper documentation, paperwork and files required. Comply with applicable laws and regulations and maintain various compliance files, including advertising, complaint and correspondences.
14. Participate in civic activities to promote growth and development in the community and a positive image for the bank.
15. Participate in special projects and perform other responsibilities as required.
Knowledge, Skills and Abilities:
In addition to the list below, it is understood that all positions with the company require individuals who possess a pleasant and friendly attitude, project sensitivity towards customers and fellow employees, and maintain a neat and clean professional appearance. Core competencies have been identified as relevant to every position within the company and include: Ethics and Integrity, Listening, Business Acumen, Customer Focus, Approachable and Savvy, Action Oriented, Managing Time & Priorities, Work/Life Balance, Composure & Patience, Drive for Results, Self Development & Knowledge, Dealing with Change, Decision Quality, and Informing.
(Verbal Communication and Written Communication)
- Listens, shows interest
- Demonstrates appropriate non-verbal skills and clarifies with questions and paraphrases
- Informs, encourages the exchange, access and sharing of information
- Modifies communication style appropriately
- Is able to write clearly and succinctly to get messages across to the intended receiver for the desired effect
- Makes good decisions using analysis, experience and judgment
- Most solutions are accurate when judged over time
- Sought out by others at First Merchants for advice and solutions
Managing Time & Priorities
- Uses his/her time effectively and efficiently
- Focuses efforts on important priorities
- Accomplishes more tasks and assignments in less time
- Can attend to several priorities at a time
- Eliminates roadblocks and stays focused
- Plans daily tasks so important work is accomplished
- Uses workplace tools, technology or personal methods to keep track of priorities and assignments
- Prioritizes and works on multiple tasks effectively while maintaining high quality work results
(Boss Relationships and Peer Relationships)
- Works well in cooperation with others for the benefit of the company
- Receives and carries out instruction in a positive manner
- Responds well to constructive critique from manager and peers
- Remains open to learning and coaching
- Viewed as a team player by being cooperative and collaborative
- Welcomes learning opportunities and remains open to change
- Displays an eagerness and capacity to learn when faced with new situations and problems
- Learns quickly
- Experiments and tries new solutions
- Views new assignments as a learning experience and enjoys the challenge of unfamiliar tasks
- Develops and nurtures internal and external relationships
- Responds quickly with accurate information or follow-up expectations
- Proactively seeks to understand concerns and perspectives of others
- Identifies solutions or products to meet internal and/or external customer(s) needs
- Lives our vision and deepens relationships within communities served through participation in philanthropic and civic activities
- Can gather and use resources to get things done
- Can multi-task to accomplish goals
- Keeps information and files arranged to accomplish work
Education - High School diploma or equivalent (GED).
Experience - Over one (1) through three (3) years of administrative, clerical or related experience.
Other - Series 7, Series 63 &65 or Series 66 License and applicable state insurance license within the first six (6) months of employment.
Bachelor’s degree in finance, accounting or related field of study.
Securities sales, annuity sales, or related experience.
Ability to seek and obtain professional designations including but not limited to CFP, CFA, CIMA, AIF, CRC or CWS.
Work Hours FT, Mon-Fri, 8a-5p