Sr. Investment Advisor

Texas Capital Bank•Dallas, TX

About The Position

The Sr. Investment Advisor delivers the Firm’s investment philosophy and solutions through ongoing relationship management and collaboration with other team members. The role participates in the Investment Committee, conducts investment reviews with prospects and clients, validates or determines investment objectives, and recommends appropriate investment products. It develops investment policy statements, advises on asset allocation, and manages client investment portfolios while maintaining current knowledge of Private Bank products and strategies. The position also develops business through prospecting and internal and external referrals, initiates and closes sales of complex investment products, and builds effective working relationships with internal partners and teammates. The advisor must follow applicable securities transaction, conduct, FINRA, and other regulatory policies and requirements. Additional reasonably related duties may be assigned in accordance with departmental policy.

Requirements

At least 10 years of relevant banking experience.
At least seven years in private banking is preferred.
Bachelor’s degree in Accounting, Finance, Business Administration, or an equivalent or relevant program.
Series 7 and Series 63 licenses are required.
Extensive experience with and in-depth knowledge of fixed income, structured notes, equities, and alternatives.
Extensive experience managing discretionary and brokerage relationships.
Advanced ability to develop, cultivate, and maintain complex ultra-high-net-worth client relationships.
Advanced ability to communicate sophisticated investment strategies to clients and prospects at all levels.
Advanced sales experience, including profiling, overcoming objections, negotiation, team selling, closing sales, and asking for referrals.

Nice To Haves

Private banking experience.
MBA, CFA, or CFP.

Responsibilities

Deliver the Firm’s philosophy and solutions through ongoing relationship management in coordination with other team members.
Participate in the Investment Committee.
Conduct investment reviews with prospects and clients to determine or validate investment objectives and recommend appropriate investment products.
Develop investment policy statements, advise on asset allocation, and manage client investment portfolios.
Maintain current knowledge of Private Bank products and strategies.
Engage in business development, including prospecting and developing internal and external referral sources through personal and professional contacts.
Initiate and close sales of complex investment products.
Build and maintain excellent working relationships with internal partners and teammates.
Comply with internal and external policies and procedures regarding securities transactions and code of conduct.
Conduct operations in accordance with FINRA and other regulatory agency guidelines and requirements.