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Investment Consultant
First Merchants Corporation
Palos Heights, IL, United States
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Description
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 provide excellent product delivery and service.
Direct Management Received:
Director, Retail Investments
Direct Management Exercised:
None
Essential Duties and Responsibilities:
1. Coordinate sales appointments, make presentation 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 questions and leading 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:
Communication
(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
Decision Quality
• 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
Working Relationships
(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
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 - High School Diploma or equivalent (GED).
Experience - Over three (3) through five (5) years of securities sales, annuity sales, or related experience.
Other - Valid driver’s license.
Series 7, Series 63 and 65 or Series 66 securities licenses as well as an applicable state insurance license within the first 6 months of employment.
Preferred Requirements:
Bachelor’s degree in finance, accounting or a related banking field of study.