Region Investment Manager

• Achieves the sales goals/objectives of the region by supervising investment staff, selling financial products to prospective customers and ensuring Investment Sales Representatives meet established production goals.
• Ensures OSJ responsibilities are executed within the NASD Rules of Fair Practice, Patriot Act and all other regulatory and procedural guidelines.
• Acts as the region's point of contact and communication between sales, regulatory and legal organizations.
• Develops relationships with prospective clients by using prospect list and communicates with customers daily regarding investment options.
• Maintains existing investment relationships and mentors existing customers to ensure satisfaction with products and services.
• Mentors/develops staff by providing regular feedback on performance, providing opportunities for development, writing performance/development reviews, making recommendations to reward performance exceeding standards and handling employee disciplinary issues in a professional, objective and impartial manner.
• Ensures operational and staffing levels are adequate to meet departmental needs by conducting interviews and hiring staff, complying with federal, state, and local employment laws and promoting equal employment opportunity efforts.
• Attends financial center/sales meetings, maintains strong working relationships with financial center staff and provides training/guidance to financial center staff to understand and refer investments products.
• Maintains and submits detailed weekly activity/production reports for department.
• Upholds customer satisfaction by ensuring region investment staff support external/internal customers and answers questions/requests in a timely manner.
• Maintains customer confidence and protects operations by ensuring region investment staff follow the Privacy Policy and keep information confidential.

• Works with financial center staff to develop both deposit and investment relationships to maximize cross-selling opportunities.
• Expands knowledge by staying abreast of investment news/information and attending sales/product training.
• Represents the bank in local community by participating in civic and community events and activities.
• Contributes to the team effort by working on special projects, performs other job-related duties and accomplishes related results.

• Region consistently meets sales goals established for the plan year as evidenced by monthly production reports.
• Holds staff accountable for meeting established sales goals as evidenced by monthly production reports.
• Actively pursues business development opportunities within market and consistently establishes new profitable customer relationships as evidenced by meeting personal and region sales goals.
• Actively involved in the community and finds ways to leverage those relationships into networking opportunities that result in new business as evidenced by meeting personal and region sales goals.
• Establishes excellent working relationships with region retail banking center staff as evidenced by good reports or minimal negative reports from retail banking centers.
• Makes sound investment referrals for clients based upon analysis and judgement as evidenced by Client Suitability Profile recommendations.
• Sets the standards for staff on professionalism, customer service, teamwork and attendance as evidenced by Investment Services President/region management observation.

• Talking--Ability to express or exchange ideas by means of the spoken word.
• Hearing-Ability to receive detailed information through oral communication.
• Seeing-Ability to view a computer screen for an extended period of time and/or identify individuals visually.
• Walking-Ability to use feet and legs to move from one place to another.
• Finger dexterity-Ability to work with fingers for handling documents and use a keyboard.
• Driving-Ability to travel to various/multiple locations or client sites.

• Bachelor's degree in business related field or equivalent combination education and related business experience required.
• Minimum of 5 years successful investment sales experience required, management experience preferred.
• Series 24 license or the ability to acquire license within 3 months of placement into position required.
• NASD Series 6 or 7 license and current life insurance and variable annuity licenses are required.
• Ability to meet and exceed established sales goals and travel to develop a customer base required.
• Strong sales ability or aptitude, a professional, business-like appearance, with excellent communication and presentation abilities required.
• Demonstrated decision making/leadership skills and the ability to motivate others required.
• Ability to communicate verbally and in writing, provide superior customer service and work well with others is required.
• Motivation and initiative are essential, along with skills in organization and flexibility in scheduling required.
• Ability to utilize industry related and business software required.