Facilitate the sales and service of securities, annuities, registered investment advisory products and life insurance to qualified clients. Expand client relationships by emphasizing the origination of new business, expanding current book of business and providing excellent product delivery and service. Recommendations made are consistent with the company's mission statement utilizing an explicit standard of care focusing on the clients best interests.
Essential Duties and Responsibilities:
- Coordinate sales appointments, make presentations and complete all necessary paperwork on successful sales; including the deposits into the designated broker/dealer sweep account.
- Initiate paperwork involving cancellations, surrenders and/or partial withdrawals.
- 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.
- Meet activity and production goals as established; includes develop within existing book of business.
- Continuously work to establish and enhance existing customer and business referral relationships.
- Manage relationships with extensive existing book of business
- Provide a broad range of investment solutions and products to help meet customer goals and offer in-depth guidance through financial planning services.
- Comply with all the rules, regulations and policies of the designated broker/dealer, all state and federal securities regulators and self-regulatory organizations.
- Respond timely to client and prospect requests.
- Assist in the development of an annual sales plan.
- Collaborate with clients to review personal financial goals and provide consultation on investment portfolio.
- Process security transactions through the designated broker/dealer as requested by clients.
- Maintain proper documentation, paperwork and files as required. Comply with applicable laws and regulations and maintain various compliance files; including advertising, complaints and correspondences.
- Participate in civic activities to promote growth and development in the community and a positive image for the bank.
- Participate in special projects and perform other responsibilities as required.
Education - High School diploma or equivalent (GED).
Experience - Over three (3) years of securities sales, annuity sales or related experience.
Other - Valid driver's license.
Series 7, Series 63 and 65 or Series 66 licenses as well as an applicable state insurance license.
Bachelor's degree in finance, accounting or a related banking field.
Willingness to seek and obtain professional designations including but not limited to CFP, CFA, CIMA, AIF, CRC, or CWS.
High School (required)
Over three (3) years of securities sales, annuity sales or related experience. (required)
Licenses & Certifications
Series 66 (preferred)
Series 7 License (preferred)
Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities
The contractor will not discharge or in any other manner discriminate against employees or applicants because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant. However, employees who have access to the compensation information of other employees or applicants as a part of their essential job functions cannot disclose the pay of other employees or applicants to individuals who do not otherwise have access to compensation information, unless the disclosure is (a) in response to a formal complaint or charge, (b) in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or (c) consistent with the contractor's legal duty to furnish information. 41 CFR 60-1.35(c)
First Merchants Bank is an Equal Opportunity Employer and E-Verify participant (M/F/D/V).