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Investment Regional Manager
Huntington Bancshares
Southfield, MI, United States
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Description
Excellent career opportunity to manage the sales efforts of an assigned group of securities sales representatives. Develops sales strategies, directs, trains and motivates staff.
• Ensures sales staff is current regarding new financial instruments and techniques and can adequately present new products to the client.
• May personally sell securities and/or serve as technical resource for special products.
• May manage and direct the activities of traders.
• Ensures that all business is suitable for clients and in compliance with all state and federal securities regulations.
• Communicates the group's program, strategic direction to executive and senior management and other personnel from various departments/functions of the corporation.
• Adheres to bank policies and procedures and complies with legal and regulatory requirements.
• Accountable for risk management, compliance and audit performance for area(s) of responsibility whether a supervisor, manager or individual contributor.
• Establishes or works with management to develop effective controls and processes to ensure risks are measured, monitored and controlled and compliance requirements are adhered to on an on-going basis.
• If applicable, ensures staff is properly trained, provided with appropriate resources and motivated to adhere to risk management principles.
• Maintains current knowledge of risk-related changes that may impact assigned area(s) of responsibility.
• Coaches; counsels; develops work schedules; manages a function; responsible for hiring, terminations, salary adjustments and/or disciplinary actions; establishes/communicates group strategy.
Basic Qualifications:
• Bachelor's degree or equivalent experience
• Five or more years of securities industry experience, preferably in a banking environment
• Series 7 and 63/65 or 66
• Life/Health licenses
• Three or more years' experience managing a team
Preferred Qualifications:
• Series 24 license within 120 days of hire
• Series 53 within 6 months of hire
• Managing a team of Sales Advisors