UHNW Private Banker SAFE Act

UHNW Private Banker SAFE Act

Requirements

• Client facing experience, preferably in the financial services industry.
• Strong knowledge of investments, banking and credit products.
• Strong knowledge of financial industry and current market conditions.
• Strong verbal and written communication skills.
• Excellent interpersonal skills, problem solving, team work and analytical skills.
• Ability to establish relationships and partner effectively with various groups including sales, service, operations, compliance, and marketing.
• Ability to understand, utilize and learn computer and web based applications.
• Licensing: Series 7 & 66 (or 63 & 65).
• BA plus relevant financial services experience required.

Responsibilities

• Grow client net revenue annually in core product areas: investment management, capital markets, and banking & lending.
• Create sales and marketing strategies designed to generate revenue growth and to acquire new target clients within different sectors.
• Prospecting – generate leads and develop prospects, network to identify referrals to new clients/prospects.
• Profile, qualify, and convert prospects into CPB clients.
• Identify and execute on new business opportunities with existing clients.
• Orchestrate appropriate specialist resources to develop tailored, long-term solutions for clients/prospects.
• Present and communicate to clients/prospects complex financial concepts and investment strategies in a way that is easily understood.
• Serve as the client’s advocate and trusted advisor (primary contact) for strategic advice on financial matters.
• Create, organize, and implement a wealth management strategy designed to deepen relationships with existing clients.
• Manage client expectations regarding what can and cannot be executed on their behalf.
• Ensure financial strategies are kept current and appropriately aligned with client objectives.
• Understand and communicate the risk involved with financial and investment strategies.
• Ensure all client inquiries and problems are handled effectively and resolved.
• Help team members to acquire experience and establish credibility with clients.
• Comply with all regulatory policies and control procedures regarding client transactions and suitability.
• Oversee and ensure compliance with the following processes: Investment Objective Setting (IOS), Client Risk Profile (CRF), Periodic Client Reviews.
• Oversee and ensure clients are on-boarded appropriately including all required documentation is complete and accurate.

Preferred Qualifications

No preferred qualifications provided.