Investment Associate, FINRA Registered

KeyBank•Cohoes, NY

2d•$22 - $34

About The Position

Within the Key Investment Services business, this individual is responsible for assisting the Key Investment Services Sales Force in achieving sales goals, customer service, business growth and client retention. This person will serve as a proactive member of the Key Investment Services Team by being an initial sales and service contact for new and existing clients.

Requirements

High School Diploma (required)
Minimum of 1 year of experience in brokerage or financial services (required)
FINRA License S7 within 120 Days (required)
FINRA License S63 within 120 Days (required)
Working knowledge of investment products.
Demonstrated excellent organizational skills and a strong attention to detail.
Strong written and verbal communication.
Excellent computer skills: Word, Excel, Power Point, email, internet savvy, etc.
Quickly gain broad knowledge of clients and their needs.
Demonstrated ability to develop trusted advisor relationships.
Strong customer service and analytical skills.
Ability to work as a team member.
Ability to use applicable equipment, which may include: PC Microsoft Office (including Word, Excel, etc.), Desktop, etc.
Critical Thinking: The ability to identify issues, communicate them, and explain the characteristics and steps in effective decision-making
Problem Solving: Utilizes accepted procedures for problem analysis and resolution; explains the value of a disciplined approach to problem solving
Resilience: The ability to view problems and challenges as opportunities to grow personally and professionally
Collaboration: Demonstrates a basic understanding of collaborative processes and provides examples of how collaboration has or can help the organizational reach its goals
Adaptability: Understands that change is inevitable and seeks value in new ways of doing things while coping with day-to-day frustrations, adversities and uncertainties related to change
Business Acumen: Works to understand the business priorities of internal and external clients and can describe relevant profitability drivers and considerations
Data Analysis: Demonstrates a basic understanding of the concepts underlying data analytics and lists the major sources for collecting data and conducting data analysis
Oral & Written Communication: Demonstrates the ability to speak, write, and present in a way that effectively conveys the intended message to an audience
Risk Management: Implements or manages risk management for own business unit and documents key steps of the risk management process and associated procedures
Systems Thinking: Analyzes the dynamics of a system to determine key characteristics, properties, and functions; surfaces problems within systems and searches for root causes while leveraging a foundational knowledge of continuous improvement

Responsibilities

Provide support to the Private Client Advisors.
Customer service duties, assist in daily office operations including: assisting with obtaining new account and customer maintenance forms, establishing new accounts, customer account servicing, processing estate account requests, researching problems, preparing and editing correspondence, obtaining proper approval on correspondence, record keeping, heavy order entry, and client contact.
Solid base knowledge of Retirement accounts including distributions and Required Minimum Distribution calculations.
Follow up on client service activities and Advisor's requests.
Create and manage the client database: address, contact info, type of client (investor, credit, etc.) and use this to create mailing database for sending out "value added" material, invitations to events, follow up phone calls, etc.
Help make and schedule appointments.
Expected to participate in sales support activities such as weekly teleconferences, monthly sales unit meetings, manager coaching sessions, etc. and to attend additional product and process training as available.
Create, obtain proper approval and distribute letters on product promotions.
Assist as needed with coordinate marketing events, seminars and presentations for client/prospects - including booking location, client/prospect list, mailing invitations, refreshments, presentation material and equipment.
Create/assist in production and distribution for newsletters, bios, etc.
Additional Licensed IA functions: Process annuity and 1035 exchange paperwork, place all trades for Financial Advisors, money movements, trade logs, and check receipts and security receipts.
Performs other duties as assigned; duties, responsibilities and/or activities may change or new ones may be assigned at any time with or without notice
Complies with all KeyBank policies and procedures, including without limitation, acting professionally at all times, conducting business ethically, avoiding conflicts of interest, and acting in the best interests of Key’s clients and Key.