Investment Associate, FINRA Registered - Mount Kisco, NY
About The Position
Within Key Investment Services, the Retail Investment Associate supports the Key Investment Services sales force in achieving sales goals, delivering 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 with client account servicing, office operations, client communications, sales support, and marketing activities. Licensed Investment Associate functions also include accepting client trade instructions or engaging with clients on suitability. The associate must comply with KeyBank policies and procedures and act professionally, ethically, and in clients’ best interests. Duties may change or be assigned at any time.
Requirements
- High school diploma.
- At least 1 year of experience in brokerage or financial services.
- FINRA License S6.
- FINRA License S63.
- FINRA Security Industry Essentials (SIE).
- Working knowledge of investment products and ability to explain options clearly to clients.
- Strong organizational skills, attention to detail, and ability to manage multiple priorities.
- Strong written and verbal communication skills.
- Excellent computer skills, including Microsoft Word, Excel, PowerPoint, email platforms, and internet navigation.
- Ability to quickly gain a broad understanding of 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 doing things.
Nice To Haves
- FINRA Series 7.
- Life Insurance license.
Responsibilities
- Provide support to Private Client Advisors.
- Handle customer service and daily office operations, including obtaining account-opening and maintenance forms, establishing and servicing accounts, processing estate account requests, researching problems, preparing and editing correspondence, obtaining approvals, maintaining records, entering orders, and managing client contact.
- Maintain working 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, and use it to develop mailing lists for materials, event invitations, and follow-up calls.
- Assist with appointment scheduling and sales support activities, including teleconferences, sales unit meetings, and manager coaching sessions; attend product and process training as available.
- Create, obtain approval for, and distribute letters about product promotions.
- Coordinate marketing events, seminars, and presentations, including booking locations, preparing client and prospect lists, mailing invitations, arranging refreshments, and organizing presentation materials and equipment.
- Assist with producing and distributing newsletters, biographies, and other marketing materials.
- When performing additional licensed IA functions, accept client trade instructions or engage with clients regarding suitability.
- Comply with KeyBank policies and procedures, conduct business ethically, avoid conflicts of interest, and act in the best interests of clients and Key.
- Perform other duties as assigned.
Benefits
- Incentive compensation, which may include production, commission, and/or discretionary incentives.
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What This Job Offers
Job Type
Full-time
Education Level
High school or GED
