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Essential Duties and Responsibilities

• Initiates outbound sales calls and responds to incoming calls and inquiries, including follow-up, sending out materials and obtaining and evaluating background information.

• Participates in professional organizations and activities to expand network of business contacts.

• Establishes and maintains a prospect database.

• Works independently in sourcing and developing new client relationships to enable financial advisors to meet sales goals.

• Assists in developing product oriented positioning documents, product profiles, competitive analysis and other content for web sites, marketing materials and seminars.

• Gathers, analyzes, interprets and distributes information on sales trends, product demand and marketing strategies for assigned products.

• Supports marketing programs and assists others in developing a clear, compelling and differentiated message and position for assigned products.

• Participates in advisor and client seminars, product road shows, branch presentations, conference calls, point of sale support, and other sales functions on behalf of the financial advisors.

• Executes business development strategies on behalf of the branch.

• Gathers information and data on prospects to be used in the sales process.

• Follows-up with financial advisors to ensure high quality service delivery.

• Performs other duties and responsibilities as assigned.

Knowledge of

• Concepts, practices and procedures of business development in a financial services/broker-dealer environment.

• Investment concepts, practices and procedures used in the securities industry.

• The principles of banking and finance and securities industry operations.

• Financial markets, products, financial advisory function and the investment process.

Skill in

• Sourcing and developing sales prospects.

• Executing practice development strategies.

• Sourcing and developing sales prospects and referral sources.

• Initiating sales calls and responding to inquiries and turning them into sales opportunities.

• Establishing and maintaining databases.

• Preparing and delivering clear, effective, and professional presentations.

Ability to

• Operate standard office equipment and use required software applications.

• Partner with other functional areas to accomplish objectives.

• Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed.

• Incorporate needs, wants and goals from different prospects for financial advisor practices into marketing and sales strategies.

• Gather information, identify linkages and trends and apply findings to assignments.

• Research, interpret, analyze and apply information about prospects.

• Organize, prioritize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.

• Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels to accomplish objectives.

• Work independently as well as collaboratively within a team environment.

• Provide a high level of customer service.

• Maintain currency in financial services industry and products.

Education/Previous Experience

• Bachelor’s Degree (B.A.) from a four year college or university with a minimum of two (2) years of experience in marketing or sales in a financial planning, investment management or other financial services environment.

Licenses/Certifications

• SIE required provided that an exemption or grandfathering cannot be applied.

• Series 7 required.