Investment Associate, Registered

KeyBank•Depew, NY

1d•$22 - $34•Hybrid

About The Position

Within the Key Investment Services business, the Retail Investment Associate is responsible for assisting the Key Investment Services Sales Force in achieving sales goals, customer service, business growth, and client retention. This position 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. Essential Functions Provide support to the Private Client Advisors. Perform customer service duties and assist in daily office operations, including obtaining new account and customer maintenance forms, establishing new accounts, servicing customer accounts, processing estate account requests, researching problems, preparing and editing correspondence, obtaining proper approvals, maintaining records, performing heavy order entry, and managing client contact. Maintain a solid base knowledge of retirement accounts, including distributions and Required Minimum Distribution (RMD) calculations. Follow up on client service activities and Advisor requests. Create and manage the client database, including addresses, contact information, and client type (investor, credit, etc.), and use this information to develop mailing lists for value-added materials, event invitations, and follow-up calls. Assist with scheduling appointments and participate in sales support activities such as weekly teleconferences, monthly sales unit meetings, and manager coaching sessions. Attend additional product and process training as available. Create, obtain approval for, and distribute letters on product promotions. Coordinate marketing events, seminars, and presentations for clients and prospects, including booking locations, preparing client/prospect lists, mailing invitations, arranging refreshments, and organizing presentation materials and equipment. Assist in the production and distribution of newsletters, biographies, and other marketing materials. Additional Licensed IA functions: Accept trade instructions from a client or engage with the client specific to suitability. 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.

Requirements

High School Diploma (required)
Minimum of 1 year experience in brokerage or financial services (required)
FINRA License S6 (required)
FINRA License S63 (required)
FINRA Security Industry Essentials (SIE) (required)
Investment Knowledge: Working knowledge of investment products and ability to explain options clearly to clients.
Organization & Detail Orientation: Demonstrated ability to manage multiple priorities with exceptional organizational skills and strong attention to detail.
Communication: Strong written and verbal communication skills to effectively interact with clients and team members.
Technical Proficiency: Excellent computer skills, including Microsoft Word, Excel, PowerPoint, email platforms, and internet navigation.
Client Insight: Ability to quickly gain a broad understanding of clients and their needs.
Relationship Building: Proven ability to develop and maintain trusted relationships with clients.
Customer Service & Analysis: Strong customer service orientation combined with analytical skills to resolve issues and identify solutions.
Team Collaboration: Ability to work effectively as part of a team to achieve shared goals.
Risk Management: Implements or manages risk management for own business unit and documents key steps of the risk management process and associated procedures
Adaptability: Understands that change is inevitable and seeks value in new ways of doing things

Nice To Haves

FINRA Series 7 and Life Insurance (preferred)

Responsibilities

Provide support to the Private Client Advisors.
Perform customer service duties and assist in daily office operations, including obtaining new account and customer maintenance forms, establishing new accounts, servicing customer accounts, processing estate account requests, researching problems, preparing and editing correspondence, obtaining proper approvals, maintaining records, performing heavy order entry, and managing client contact.
Maintain a solid base knowledge of retirement accounts, including distributions and Required Minimum Distribution (RMD) calculations.
Follow up on client service activities and Advisor requests.
Create and manage the client database, including addresses, contact information, and client type (investor, credit, etc.), and use this information to develop mailing lists for value-added materials, event invitations, and follow-up calls.
Assist with scheduling appointments and participate in sales support activities such as weekly teleconferences, monthly sales unit meetings, and manager coaching sessions.
Attend additional product and process training as available.
Create, obtain approval for, and distribute letters on product promotions.
Coordinate marketing events, seminars, and presentations for clients and prospects, including booking locations, preparing client/prospect lists, mailing invitations, arranging refreshments, and organizing presentation materials and equipment.
Assist in the production and distribution of newsletters, biographies, and other marketing materials.
Accept trade instructions from a client or engage with the client specific to suitability.
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.