Investment Associate, FINRA Registered - Mount Kisco, NY

KeyBank•Kisco, NY

19h•Hybrid

About The Position

Within Key Investment Services, the Retail Investment Associate supports the Key Investment Services sales force in achieving sales goals, providing customer service, growing the business, and retaining clients. The role is a proactive member of the team and serves as an initial sales and service contact for new and existing clients. It supports Private Client Advisors and assists with client account servicing, office operations, sales support, and marketing activities. The position also requires the additional functions of a licensed investment associate, including accepting trade instructions from clients or engaging with clients regarding suitability. Duties may change or be assigned at any time, with or without notice. Employees must comply with KeyBank policies and procedures, act professionally and ethically, avoid conflicts of interest, and act in the best interests of Key’s clients and Key.

Requirements

High school diploma.
At least one year of experience in brokerage or financial services.
FINRA Series 6 license.
FINRA Series 63 license.
FINRA Securities Industry Essentials (SIE) qualification.
Working knowledge of investment products and ability to explain options clearly to clients.
Strong organizational skills, ability to manage multiple priorities, and attention to detail.
Strong written and verbal communication skills.
Computer proficiency, including Microsoft Word, Excel, PowerPoint, email platforms, and internet navigation.
Ability to quickly understand clients and their needs.
Ability to develop and maintain trusted client relationships.
Strong customer service orientation and analytical skills to resolve issues and identify solutions.
Ability to work effectively as part of a team.
Ability to implement or manage risk management for the business unit and document key risk-management steps and procedures.
Adaptability and willingness to seek value in new ways of working.
Demonstrate Key’s Values and abide by Key’s Code of Conduct.

Nice To Haves

FINRA Series 7 license.
Life Insurance license.

Responsibilities

Support Private Client Advisors and provide customer service and assistance with daily office operations.
Obtain new account and customer maintenance forms; establish new accounts; service customer accounts; process estate account requests; research problems; prepare and edit correspondence; obtain approvals; maintain records; perform order entry; and manage client contact.
Maintain working knowledge of retirement accounts, including distributions and Required Minimum Distribution calculations.
Follow up on client service activities and Advisor requests.
Create and manage the client database, including addresses, contact information, and client types, and use it to develop mailing lists for materials, event invitations, and follow-up calls.
Assist with appointment scheduling and participate in sales support activities, including 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 about product promotions.
Coordinate marketing events, seminars, and presentations for clients and prospects, including booking locations, preparing lists, mailing invitations, arranging refreshments, and organizing presentation materials and equipment.
Assist with producing and distributing newsletters, biographies, and other marketing materials.
Accept trade instructions from clients or engage with clients regarding suitability.
Perform other duties as assigned and comply with KeyBank policies and procedures, including ethical conduct, avoiding conflicts of interest, and acting in clients’ and Key’s best interests.