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Investment Associate Full-time

at First International Bank & Trust in North Dakota (Published at 31-10-2019)

Position Summary: The Investment Associate is responsible for enhancing the efficiency and profitability of the Investment Centers of America?s office. Including Marketing, Client Service Functions, Sales, and Prospecting.

Essential Duties and Responsibilities include the following. Other duties as assigned.

General Marketing

  • New Business Development: Perform cold call prospecting functions in order to develop new clients for the market and the advisor team.
  • Analyze and pursue networking and business development opportunities where First International Investments can create center of influence (COI) relationships and market visibility. Seek out service clubs and marketing groups to join in order to promote First International Bank and Trust.
  • Plan and develop monthly mail and phone campaigns to prospects and clients.
  • Plan, develop and coordinate workshops and seminars.
  • Plan, develop and publish Quarterly Newsletter and Marketing Brochure.
  • Coordinate and implement all radio and newspaper advertising campaigns.
  • Coordinate and implement all other special advertising campaigns.
  • Prospect and sell investment products individually on new prospects with less than $50,000 to invest and jointly with prospects that are existing clients or have more than $50,000 to invest.
  • Comply with federal, state, and company policies, procedures, internal controls, and regulations.

Client Contact & Services

  • Client Services: Responsible for servicing client requests and questions. Input notes in Redtail of all actions and conversations. Return all phone calls to clients and prospects by the end of the day. Gather the necessary client/prospect financial information to provide analysis and solutions for their investment needs. Interact with clients/prospects to provide information on the advantages and disadvantages of various financial products.
  • 90 Day Contact Program: Call A, B, & C clients on a regular call rotation program to ensure regular contact with these clients.
  • Reviews: Schedule quarterly/semi-annual review with A and B clients thru the 90-Day Contact Program. Schedule C and D clients as necessary. Develop the consolidated statements for client reviews and work with senior advisors to identify sales opportunities and solutions prior to the appointment. Utilize Morningstar, FP Suites and Excel as required for these reviews.
  • Maintain the Advisor?s Schedule: Schedule appointments and maintain the advisor?s daily calendar in Redtail.
  • Maintain Client Files: Organize and maintain client files. File quarterly and annual statements for client investments.
  • Assets Under Management Summary: Prepare and maintain the report detailing assets under management by client and submit this report to the Advisor by the 1st of each month.
  • New Accounts: Processes all new account paperwork which includes setting up file, verifying accuracy of all paperwork before it leaves the office, verifying client notes are input in Redtail, establishing the account at Pershing (if necessary), sending required documents to Sales Review, processing all checks and applications, and filing and cross check of all statements, confirmations, and any other pertinent paperwork. If the account is a joint account or a senior advisor?s account, determine a new account service strategy to insure client satisfaction as well as develop pipeline opportunities for additional financial products.
  • Daily Office Administration: Maintain and send Daily Blotter. Process client checks. Perform daily callback verifying and tracking all trades (buy, sell, exchange, transfers, 1035?s, and rollovers) and all account maintenance functions performed in the office (check requests, wire requests, deposits made, address changes, etc).
  • Compliance Files: Maintain and send reports to compliance as necessary regarding the Correspondence Files, GTC file and Branch Checklist. Rectify issues with ICA Sales Review. Maintain all updates and changes in procedure in the WSP Manual.
  • Office Supplies: Maintain and update all necessary office supplies and sales materials. (i.e. Prospectuses, applications and other product forms)
  • Monthly Reports: Reconcile bi-monthly commission statements with the Daily Blotters. Maintain bank employee referral summary. Provide all stated reports to the Advisor on the 1st of each month.

Qualifications To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

Extensive working knowledge of the Internet and Microsoft Office. With training, become proficient with Morningstar Principia Pro and the ICA Financial Planning Suite software programs. Strong skills in developing and executing marketing ideas to generate new prospects for the market. *Must currently have the Series 7 securities license and the ND Life and Health Insurance License. Professionalism, excellent customer service skills business development and sales skills. Ability to multi-task.

Education and/or Experience: High school diploma or equivalency.

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