AVP Investments

GTE Financial•Tampa, FL

4d•Hybrid

About The Position

Come join our GTE Financial team! We are looking for an organized, professional, strategic individual to join as an AVP Investments . The AVP of Investments is responsible for the development and performance of the GTE Investment Group which provides financial planning and wealth management services to members of GTE Financial. We are looking for a well-networked individual with an understanding of the central Florida markets who wants to take an experienced team to the next level. What does GTE look for in an AVP of Investments ? Leadership: Coach, train, and manage assigned staff, ensuring adherence to Credit Union and departmental standards. Prepare timely evaluations that accurately measure employee performance and provide direction for future growth and development. Practice Integrity Coaching principles. Responsible for meeting department goals and performance metrics as determined by management. Motivate team, set and communicate clear expectations and goals for employee performance and responsibilities. Hire, supervise, evaluate, counsel, and terminate (when necessary). Ensure proper staffing and training of staff; responsible for the interviewing and selection of qualified candidates and perform all responsibilities by current organizational goals and standards. Coach, train, and manage assigned staff, ensuring adherence to Credit Union and departmental standards. Prepare timely evaluations that accurately measure employee performance and provide direction for future growth and development. Monitor team production, service metrics, and pipeline performance to ensure office goals are achieved. Cultivate strong working relationships and build trust between the Investment Group and credit union staff through regular interaction and cooperation. Foster confidence and trust in the Investment Group with members. Strategic: Develop innovative sales strategies and effective sales processes and procedures. Monitor sales practices to ensure compliance with all applicable statutory regulations and the policies and procedures of the dealer/broker and GTE Financial. Foster relationships with Community Financial Centers and headquarters staff. Ensure Investment Group staff maintains current knowledge of investment products, illustration systems, planning/analysis tools and preparation of written recommendations. Develop investment planning and product educational programs for members and Credit Union staff. Utilize technology to educate and engage members. Oversee advertising, promotional campaigns, and credit union web sites, with assistance from the broker/dealer and GTE Financial compliance departments, to ensure compliance with all applicable statutory requirements and company policies and procedures. Maintain a comprehensive understanding of the broker/dealer platform, work with broker/dealer to ensure that Investment Group staff learn and consistently utilize broker/dealer technology and back-office processes. Sales: Maintain own client base and meet individual performance objectives as assigned. Working knowledge of broker-dealer relationships and their platforms, preferably Cetera. Perform required FINRA Office of Supervisory (OSJ) duties, including monitoring the activities of FINRA branch locations. Operations: Ensure licensed personnel complete continuing education requirements. Develop and administer policies and practices that ensure compliance with SEC and FINRA regulations. Follow established policies and procedures of ethical market conduct. Conduct business according to high standards of honesty, fairness, and integrity, as well as render service to customers in a manner consistent to what we would demand for ourselves. Follow the established guidelines for maintaining client files in accordance with company practices and FINRA requirements. This position is expected to establish policies and procedures as necessary to ensure compliance with a broad range of SEC, FINRA and business standards. The AVP of Investments monitors and reports the results of the Investment Group and makes recommendations where appropriate. Strong interpersonal skills. Work is substantially complex and varied and requires the interpretation of technical and detailed guidelines, policies, and procedures, in combination. Analytical ability is needed to gather and interpret data solutions to problems typically require significant analysis and judgment. Ability to define problems collects data, establish facts, and draw valid conclusions. Ability to interpret an extensive variety of technical instructions in mathematical or diagram form and deal with several abstract and concrete variables. Experienced with Microsoft Office products and familiar with several specialized applications for financial planning, investment analysis and client relationship management. Must demonstrate a functional knowledge of the Bank Secrecy Act in addition to other Federal laws, including but not limited to U.S. Patriot Act, Office of Foreign Assets & Control, Anti-Money Laundering, Right to Financial Privacy Act, and the Bank Bribery Act. Bilingual preferred (English/Spanish).

Requirements

Undergraduate degree required in Finance or Business Management.
Min 7 years’ experience with at least 5 years progressive sales management experience or combination of education and experience or combination of education and experience
Life/Health Insurance License, FINRA registrations (Series 7, 65/66 and 24) required.
Strong interpersonal skills.
Work is substantially complex and varied and requires the interpretation of technical and detailed guidelines, policies, and procedures, in combination.
Analytical ability is needed to gather and interpret data solutions to problems typically require significant analysis and judgment.
Ability to define problems collects data, establish facts, and draw valid conclusions.
Ability to interpret an extensive variety of technical instructions in mathematical or diagram form and deal with several abstract and concrete variables.
Experienced with Microsoft Office products and familiar with several specialized applications for financial planning, investment analysis and client relationship management.
Must demonstrate a functional knowledge of the Bank Secrecy Act in addition to other Federal laws, including but not limited to U.S. Patriot Act, Office of Foreign Assets & Control, Anti-Money Laundering, Right to Financial Privacy Act, and the Bank Bribery Act.

Nice To Haves

Working knowledge of broker-dealer relationships and their platforms, preferably Cetera.
Additionally, it is preferred that the candidate hold or be working to obtain a LUTCF, CLU, CHFC or CFP designation.
Bilingual preferred (English/Spanish).

Responsibilities

Coach, train, and manage assigned staff, ensuring adherence to Credit Union and departmental standards.
Prepare timely evaluations that accurately measure employee performance and provide direction for future growth and development.
Practice Integrity Coaching principles.
Responsible for meeting department goals and performance metrics as determined by management.
Motivate team, set and communicate clear expectations and goals for employee performance and responsibilities.
Hire, supervise, evaluate, counsel, and terminate (when necessary).
Ensure proper staffing and training of staff; responsible for the interviewing and selection of qualified candidates and perform all responsibilities by current organizational goals and standards.
Monitor team production, service metrics, and pipeline performance to ensure office goals are achieved.
Cultivate strong working relationships and build trust between the Investment Group and credit union staff through regular interaction and cooperation.
Foster confidence and trust in the Investment Group with members.
Develop innovative sales strategies and effective sales processes and procedures.
Monitor sales practices to ensure compliance with all applicable statutory regulations and the policies and procedures of the dealer/broker and GTE Financial.
Foster relationships with Community Financial Centers and headquarters staff.
Ensure Investment Group staff maintains current knowledge of investment products, illustration systems, planning/analysis tools and preparation of written recommendations.
Develop investment planning and product educational programs for members and Credit Union staff.
Utilize technology to educate and engage members.
Oversee advertising, promotional campaigns, and credit union web sites, with assistance from the broker/dealer and GTE Financial compliance departments, to ensure compliance with all applicable statutory requirements and company policies and procedures.
Maintain a comprehensive understanding of the broker/dealer platform, work with broker/dealer to ensure that Investment Group staff learn and consistently utilize broker/dealer technology and back-office processes.
Maintain own client base and meet individual performance objectives as assigned.
Perform required FINRA Office of Supervisory (OSJ) duties, including monitoring the activities of FINRA branch locations.
Ensure licensed personnel complete continuing education requirements.
Develop and administer policies and practices that ensure compliance with SEC and FINRA regulations.
Follow established policies and procedures of ethical market conduct.
Follow the established guidelines for maintaining client files in accordance with company practices and FINRA requirements.
Establish policies and procedures as necessary to ensure compliance with a broad range of SEC, FINRA and business standards.
Monitor and reports the results of the Investment Group and makes recommendations where appropriate.