The Investment/Sales Officer II is primarily responsible for marketing and distributing investment securities to retail and/or institutional prospects and customers in order to ensure profitability and satisfy customers' financial objectives; prospects outside the firm for new customer relationships, develops and maintains current relationships; develops referral sources within both bank and existing customer list; provides advice to customers on securities purchases by informing them of current market trends and recommending appropriate investment strategies; maintains a profitable level of sales to exceed their monthly draw and achieves annual objectives; keeps informed of securities market trends, compliance and regulatory issues as well as customer needs.
Develops and maintains any current customer relationships; identifies and develops list of prospects; develops referral sources from within the bank and current customer list; conducts initial and ongoing client profile process with each to determine investment needs and objectives; markets investment securities as defined by the firm's eligible list to all three groups in a manner to meet or exceed defined sales productivity goals.
Ensures that all required customer documentation is complete and transactions are processed correctly and in a timely manner in accordance with regulatory standards and firm policies; resolves customer account and transaction issues; serves as contact person with quality service area in order to provide information and resolve issues.
Maintains up-to-date familiarity with current securities markets and customer needs while providing all appropriate and required disclosures, such as those pertaining to investment risks, fees, non-FDIC insurance.
Conducts business within the guidelines established by regulatory agencies and internal policies, including: attending sales meetings; completing firm-required training sessions and continuing education; maintaining appropriate securities licensing in good standing; complies with correspondence, marketing and sales activity rules; notifies supervisory principal immediately of any customer complaint and/or regulatory inquiry.
Maximizes cross-sell opportunities by attending/conducting meetings within other areas of the bank (as assigned) to educate employees on referral skills and customer benefits; is successful in both giving and receiving viable customer referrals.
This level of knowledge is normally acquired through the completion of a bachelors degree and 3+ years of experience in securities sales or 9+ years of equivalent work experience; Series 7 and 63 licensing, insurance and variable annuity licensing are required.
Comprehensive knowledge of securities products
Excellent interpersonal, verbal and written communication skills
Excellent customer service attitude and sales skills
Active Series 7, 63 securities licenses and appropriate insurance licenses(s), and others as may be appropriate by sales situation
Ability to assess specific customer needs, recommend appropriate investment strategies, offer products to meet those needs, and compel customer to act upon those recommendations
Ability to proactively communicate investment/insurance product benefits for customers to other bank personnel
Excellent organizational skills with the ability to work under extreme pressures with strict time frames, and with high net worth entities
BOK Financial - 21 months ago
Will your money BOK? Multibank holding company BOK Financial tries to make sure it is. With seven principal banking divisions in eight...