Investment Executive

Applicants are required to hold a current FINRA Series 7 and 66 (or 63 / 65) in order to be considered.

The Investment Executive is responsible for providing financial planning, financial advice and investment management to serve the needs of the bank’s consumer and business customers. The Investment Executive assesses the customer’s investment portfolio, financial objectives and provides guidance to the customer on successfully achieving those objectives.

Job Responsibilities

The Investment Executive will proactively develop a client base to which appropriate wealth management products can be sold. Duties will include :

• Collecting and analyzing information regarding the customer risk tolerance, long- and short-term goals, income, assets, investments, and debts; determining which products best meet the customer needs and circumstances
• Advising the customer regarding the advantages, risks, and disadvantages of different products
• Developing internal referral resources to identify existing customers
• Identifying external prospects and building up new client relationships
• Identifying cross-sell opportunities, including opportunities to refer customers to other bank sales representatives through proper customer profiling and needs-based selling
• Understanding and complying with all aspects of bank and Cetera policies and practices, including laws and regulations governing the duties and responsibilities of product sales
• Maintaining all necessary licenses and registrations as required
• Successfully completing all mandatory training in a timely manner
• Maintaining superior and courteous service to promote products and expand customer relationships
• Exceeding customer expectations in terms of accuracy, efficiency, courtesy, and professionalism

Job Requirements

With a strong focus on sales and customer service, the Investment Executive should be a true “people person' who enjoys developing professional and mutually beneficial relationships with a wide variety of customers. Candidates should be self-motivated and driven to exceed expectations in all that they do. Additional requirements of the Investment Executive include :

Education and Training

Cetera is nationally recognized as a self-clearing broker-dealer, registered investment adviser, and insurance agency serving the clients of nearly 500 institutions with assets ranging from $15 million to $13 billion nationwide. At Cetera, we’re committed to helping you reach your goals – both professionally and personally. From outstanding income potential and scheduling flexibility to round-the-clock support and best-in-class training, the Cetera team continues to build on a reputation for success that is more than 30 years in the making. As a member of our organization, you’ll have access to :