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Investment Consultant
First Merchants Corporation
Muncie, IN, United States
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Description
This description is intended to indicate the essential responsibilities of the position. It is not intended to be all-inclusive nor does this limit management’s right and responsibility to determine work assignments, reassignments, priorities, etc.
Position Goals:
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 & service.
Management Received:
Program Manager
Management Exercised:
None.
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 facilitate meetings, answer questions and lead training efforts with branch personnel as needed.
4. Meet activity and production goals as established; includes, develop 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 customers.
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.
Competencies:
Presentation Skills
• Is effective in a variety of formal presentation settings: one-on-one, small and large groups, with peers, direct reports and bosses
• Commands attention and can manage group processes during the presentation
• Can change communication tactics when something isn’t working
Negotiation & Conflict Management
• Demonstrates skillful negotiation in tough situations with external and internal customers
• Can skillfully negotiate by finding common ground
• Maintains a positive approach when handling customer issues
• Has the ability to settle differences and win concessions without damaging relationships
• Gains trust of others through the negotiation process
Drive for Results
• Can be counted on to meet or exceed goals successfully
• Strives to be a top performer at First Merchants
• Very bottom-line oriented
• Pushes self and others for results
Customer Service
• Responds quickly with accurate information
• Determines root cause of customer issues and works to solve problems meeting customer expectations
Requirements
Position Requirements:
Education - Bachelor degree or equivalent in finance, accounting or a related banking field.
Experience - Over three (3) through five (5) years of securities sales, annuity sales, or related experience.
Other - Valid driver’s license.
Series 7, Series 63and, 65 or Series 66 securities licenses as well as an Insurance license for annuity sales within the first 6 months of employment