Regional Investment Sales Director

SUMMARY:

Leads regional team of financial advisors, responsible for driving the growth of investment products while ensuring compliance with regulatory standards including sales coaching, new business acquisition, and fostering strong client relationships.

PRINCIPAL ACCOUNTABILITIES

Time:

Description:

30%

Sales Leadership & Strategic Growth:

Develop and implement strategic sales plans to achieve investment revenue and asset growth targets across a specified region.20%

Talent Management & Coaching:

Supervise, coach, and mentor a team of financial advisors. Conduct regular performance reviews and provide "shoulder-to-shoulder" coaching to enhance salesmanship.10%

Internal Partner Collaboration:

Collaborate with retail branch managers and commercial bankers to drive referrals for investment consultation, fostering a cohesive "bank-wide" service approach. 10%

Client Relationship Management:

Build and maintain high-value relationships, including engaging with affluent clients and prospects to identify financial needs.10%

Regulatory Compliance:

Ensure all sales practices comply with FINRA, SEC, state insurance departments, and internal bank policies.10%

Community Engagement:

Represent the bank in local community functions to expand the network and identify new business opportunities.10%

Pipeline Management:

Oversee the teams sales pipeline, reviewing sales data to generate actionable insights and ensure goals are met.

BASIC QUALIFICATIONS

Bachelors degree in Economics, Business Administration or Finance with 10 years of investment management, sales, or banking experience or an equivalent combination of education and experience. Valid FINRA Series 7, 63, and 65 (or 66) licenses required.

ADDITIONAL QUALIFICATIONS

Strong understanding of investment products, financial markets, and regulatory compliance. Strong leadership, communication, analytical, and interpersonal skills. The above statements are intended to describe the general nature and level of work being performed by people assigned to this job.

They are not intended to be an exhaustive list of all responsibilities, duties and skills required of personnel so classified.

Affirmative Action/Equal Opportunity Employer