Investment Services Program Manager

2 days ago

Fort Worth, Texas, United States Southside Bank Full time
Job Description

Job Title: Investment Services Program Manager

Exempt Status: Exempt, Full Time

Reports to: President, Investment Services

Summary of the Job:

The Investment Services Program Manager oversees the Financial Advisors who are responsible for promoting and selling Non-Deposit Investment products and services to the public through an integrated marketing program. The Program Manager sets clear goals and responsibilities to ensure the region is within compliance, provides feedback for improvements, leads meetings within the region, coaches and develops direct reports.

Key Responsibilities:

  • Hire high-quality Financial Advisors who can obtain and maintain profitable business for the bank.
  • Set clear and challenging goals for the Investment Services team.
  • Manage and lead sales activities by analyzing sales reports, identifying performance gaps, creating action plans, monitoring progress, and inspecting results.
  • Monitor operational policy and procedures to ensure the region is within compliance with regulations.
  • Manage Financial Advisors.
  • Interview and counsel customers to obtain financial background and investment goal information needed to develop a customer profile and assist in determining appropriate investment strategies under the direction of the Financial Advisor.
  • Remain thoroughly informed regarding Non-Deposit Investment products and Bank changes in services, products, and policies.
  • Cross-sell other Bank products and services to new and existing customers to generate new business.
  • Support the team on operational and client-related issues.
  • Process new business and complete new business-related functions.
  • Open customer accounts, maintain customer files and records in accordance with OSJ requirements, and prepare all required reports.
  • Maintain all information relating to customer accounts and bank affairs in strict confidence.

Additional Responsibilities:

  • Maintain a current understanding of stated procedures and policies, including regulatory compliance issues.
  • Comply with all applicable laws and regulations.
  • Participate in continuing educational courses, as required, through Non-Deposit Investment products, the Financial Advisors Manager, and mutual fund, broker/dealer, and insurance company wholesalers.
  • Maintain Non-Deposit Investment Center and display areas and handle public relations within branch locations.
  • Read and understand Non-Deposit Investment Compliance Manual and remain current on all communications from Non-Deposit Investment Compliance Department.

Requirements:

  • B.S. Degree in Finance, Accounting, and/or Business-related field; and/or 5+ years related experience.
  • Three to five years of managerial experience required.
  • SIE required, provided that an exemption or grandfathering cannot be applied.
  • Series 7 and 9/10 (or 24) required.
  • Series 63 and 65, or 66 as required by state.
  • Ability to obtain additional securities and advisory state registrations if required by state.
  • Previous sales and service support in a banking environment required.
  • Excellent attitude and an extraordinary client service orientation.
  • Exceptional organizational, analytical, and critical thinking capabilities.

Skills:

  • Strong interpersonal, written, and verbal skills.
  • Strong project management skills.
  • Ability to handle multiple tasks and operate on tight deadlines.
  • Self-motivated and self-reliant with a business appearance and demeanor.
  • Ability to perform repetitive functions.
  • Ability to build relationships with customers and Bank personnel.
  • Detailed-oriented with excellent analytical skills.
  • Excellent verbal, non-verbal, and interpersonal skills.
  • Excellent organizational and time management skills.
  • Ability to read, analyze, and interpret general business periodicals, professional journals, technical procedures, or governmental regulations. Ability to write information and respond to questions from groups of managers, clients, customers, and the general public.
  • Ability to calculate figures and amounts such as discounts, interest, commissions, proportions, and percentages. Ability to apply concepts of basic algebra and geometry.
  • Ability to define problems: collect data, establish facts, and draw valid conclusions. Ability to interpret an extensive variety of technical instructions in mathematical or diagram form and deal with several abstract and concrete variables.
  • Proficient personal computer skills including electronic mail, record-keeping, routine database activity, word processing, spreadsheet, graphics, etc.
  • Prioritize, organize, and handle multiple projects simultaneously.

Physical Activity/Dexterity:

  • Manual dexterity sufficient to reach/handle items and work with fingers. Works with fingers and perceives attributes of objects and materials.

Physical Environment Demands:

  • Must be able to remain in a stationary position 90% of the time.
  • The person in this position needs to occasionally move about inside the office to visit other offices, conference rooms, office machinery, etc.
  • Constantly operates a computer and other office productivity machinery, such as a calculator, copy machine, and telephone.
  • Constantly positions self to operate on a computer.
  • The person in this position frequently communicates with other people throughout each day. Must be able to exchange accurate information when conversing.

Working Conditions/Environment:

  • Well-lighted, heated, and/or air-conditioned indoor office setting with adequate ventilation.
  • Moderate noise (e.g., business office with computers and printers, light traffic).

Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities

The contractor will not discharge or in any other manner discriminate against employees or applicants because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant. However, employees who have access to the compensation information of other employees or applicants as a part of their essential job functions cannot disclose the pay of other employees or applicants to individuals who do not otherwise have access to compensation information, unless the disclosure is (a) in response to a formal complaint or charge, (b) in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or (c) consistent with the contractor's legal duty to furnish information. 41 CFR c)

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