Investment Representative Job Description
Investment representative
provides additional research and context on Equity, Mutual Fund and fixed Income products; educate and simplify the methodology used for clients.
Investment Representative Duties & Responsibilities
To write an effective investment representative job description, begin by listing detailed duties, responsibilities and expectations. We have included investment representative job description templates that you can modify and use.
Sample responsibilities for this position include:
Handle telephone and email inquiries from clients regarding products, services, markets, regulations and any others issues impacting their accounts
Educate clients on regulatory issues, policies, procedures, systems, markets
Answer client service phone line from clients
Perform other duties as required that contribute to the overall effectiveness of the position to the team as a whole
Position will be in Las Vegas, NV for class to start on Sept
Co-ordinate mass client communications
Serve as the internal liaison between Wealth Management client servicing teams, WMCI and other internal partners
New and existing consulting support – obtain and validate required legal documentation to open/close centrally managed (Muni, SMA, TAE, ) accounts
Conduct peer reviews to confirm investment product and account type statement setup/deletion
Monitor the turnaround time on all assigned activity
Investment Representative Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Investment Representative
List any licenses or certifications required by the position: SIE
Education for Investment Representative
Typically a job would require a certain level of education.
Employers hiring for the investment representative job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Collage Degree in Associates, Finance, Education, Business, Economics, Accounting, Communication, Financial Services, Business/Administration, Management
Skills for Investment Representative
Desired skills for investment representative include:
Our business and understand the functions of our various business areas
CIBC offerings both in wealth management and retailing banking
With expectation of identifying referral opportunities
American Century Investments’ philosophy
Marketplace
Key clients within your book
Trading patterns and margin requirements
Markets
Equities
Fixed Income & Mutual Fund Securities
Desired experience for investment representative includes:
Applicants without CSC must complete within 2 months of the start date, training & support provided
Completion of the Canadian Securities Course (CSC) and Conduct and Practices Handbook Examination (CPH) or registered with the IIROC
Second business language skills in Cantonese/Mandarin is an asset
Completion or working towards FP I (an asset)
Mandarin/Cantonese
Registered Investment Sales Representative (RISR) Must have IFIC or CSC
Investment Representative Examples
1
Investment Representative Job Description
Job Description Example
Our innovative and growing company is hiring for an investment representative. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for investment representative
- Research, investigate and problem-solve more complex and escalated issues
- Proactively uncover opportunities to match customer needs through effective communication and probing skills to help guide clients to available products and services offered by Direct Investing
- Work within specified performance metrics for all client communications (verbal or written)
- Provide helpful and engaging, knowledgeable, accurate, responsive, and professional trading services to clients, including prompt and courteous completion of trade instructions via telephone, or electronic trade instructions, all within regulatory requirements and guidelines
- Accurately execute client instructions within defined authorities and ensure clients have the means to meet trade settlement obligations
- Research and resolve cash exceptions with the appropriate custodian bank
- Utilize resources and follow escalation procedures
- Assist Team Lead with providing exception status reports to onshore counterparts
- Analyze and review daily/monthly reconciliations
- Provide daily support of business relationships with fund accounting and custodian banks
Qualifications for investment representative
- Completion of the Conduct & Practices Handbook (CPH) within 2 months of start date, training & support provided
- Completion of the Derivatives & Fundamentals Course (DFC) and the Options Licensing Course (OLC) within 6 months, training & support provided
- Answering all client service and trade related inquiries including client concerns in a fast paced technology based environment
- Completion of the Canadian Securities Course (CSC) is a must
- 2 -3 years of experience within Shareholder Services or similar multi-client administration environment
- Strong working knowledge / experience in the financial services industry
2
Investment Representative Job Description
Job Description Example
Our company is looking to fill the role of investment representative. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for investment representative
- Enhance knowledge or skill set within their functional area through personal development
- Accountable for accurate and timely reconciliations and exception resolution, along with successfully researching discrepancies
- Provide timely customer service to internal and external business partners
- Think Critically
- Demonstrate exceptional customer service skills while providing resolution at first point of contact regarding online technical, troubleshooting, and navigational support
- Work with peer groups within IT Client Services and external service partners to bring complex issues to resolution, escalating to management when required
- Proactively uncover opportunities to match customer needs through effective communication and probing skills to help guide clients to available options in respective DI, DS, WM & I&TS websites
- Review reports
- Provide helpful and engaging, knowledgeable, accurate, responsive, and professional trading services to clients, including prompt and courteous completion of trade instructions
- Execute equity, mutual fund, fixed income, and option orders on behalf of clients
Qualifications for investment representative
- Series 7 & 66 or 7, 63 & 65 and Series 3 required
- Will be required to plan business activities to meet weekly sales targets and referral targets for personal and small business clients
- Will be responsible for proactively initiating phone calls to book appointments with clients to discuss thier needs and to offer financial solutions
- Act as the Branch manager during his/her absence
- Demonstrate a strong code of ethics
- Should be organized and detailed
3
Investment Representative Job Description
Job Description Example
Our innovative and growing company is looking for an investment representative. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for investment representative
- Exercise judgment in identifying issues, challenging courses of action, assessing regulatory and financial risks
- Balance the business needs against the policies and procedures necessary to ensure compliance with regulatory obligations by understanding and assessing the business and regulatory risks
- Document and organize tasks as they relate to trading in a fast paced environment
- Interact, communicate and document issues with Compliance on a daily basis which may be presented to regulators at a later date
- Assess risk as it pertains to trading and tasks
- Acts as the primary contact for investment management firms on day to day operational needs relating to clients accounts held at the Bank
- Responsible for follow-up on cash management or overdraft issues
- Produces revenue from the sale of approved non-traditional investments and meets all sales goals
- Meets with all referrals and provides feedback to the referring employee
- Trains and coaches referral base and Licensed Bank Employees
Qualifications for investment representative
- Applicants must have a current Investment Funds in Canada Course (IFIC) or Canadian Securities Course (CSC)
- Second business language skills in Cantonese and/or Mandarin are mandatory
- Willingness to work night shifts, flexible, extended hours, weekends as required
- Completion of the Canadian Securities Course (CSC) and Conduct and Practices Handbook Examination (CPH) or registered with the IDA is definitely preferred
- Completion of/in the process of completing the Derivatives Fundamental Course and Options Licensing Course (COC) is definitely preferred
- Second business language skills in Cantonese and/or Mandarin is definitely preferred
4
Investment Representative Job Description
Job Description Example
Our growing company is searching for experienced candidates for the position of investment representative. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for investment representative
- Provides accurate and timely reports
- Attends and participates in training, conference calls, departmental sales meetings, branch/regional sales meetings, as required
- Annual securities audits should be satisfactory with no deficiencies or open issues
- Promotes bank products and services
- Develop, educate and advise potential and current customers on their financial planning needs through a solution, helping them achieve their financial goals, particularly focusing on investment advisory fee-based product offerings
- Schedule and facilitate virtual financial planning meetings to address existing customer inquiries regarding their investment product selections
- Nurture customer relationships and provide relevant advice regarding their online financial plan, as needed
- Daily and monthly monitoring of fund portfolios to ensure that funds are in compliance with regulatory documentation guidelines, in accordance with department schedule
- Reviewing reports produced from the compliance monitoring system, Compliance Master by Charles River Development
- Completing testing on rules that are set up through Compliance Master and research any inquiries that may arise
Qualifications for investment representative
- Maintaining high levels of accuracy keeping internal tracking systems up to date
- Ability to speak/understand Cantonese preferred and a 2nd business language in Mandarin an asset
- Second business language skills in Cantonese, and/or Mandarin are an asset
- Completion of the Canadian Securities Course (CSC) and Conduct and Practices Handbook Examination (CPH) are preferred
- Currently registered with the Investment Industry Regulatory Organization of Canada (IIROC) is a strong asset
- Completion of/in the process of completing the Derivatives Fundamental and Options Licensing Course (DFOL) is preferred
5
Investment Representative Job Description
Job Description Example
Our growing company is looking to fill the role of investment representative. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for investment representative
- Developing and maintain a working familiarity with applicable laws, regulations and interpretation governing the administration of mutual funds
- Performing special projects as assigned by the Fund Administration Compliance Supervisor
- Assisting with the preparation of Quarterly Board Reports
- Assisting in the implementation and ongoing development of the automated compliance program and any further enhancements
- Developing and maintaining a strong working familiarity with Charles River Developments ComplianceMaster system
- Provide timely and accurate information to all incoming telephone inquiries regarding our wealth and financial products, by utilizing automated telephone systems, computer applications, training material and other applicable resources
- Ensure accurate and timely processing of all client/agent telephone-initiated requests, address, resolve or escalate if necessary, any daily operational service issues
- Ensure thorough records are maintained by documenting all actions taken to process telephone-initiated inquiries
- Assist with department projects and initiatives as needed
- Develop, educate and advise potential and current customers on their financial planning needs, helping them achieve their financial goals, particularly focusing on investment advisory fee-based product offerings
Qualifications for investment representative
- Additional business language skills in Cantonese and/or Mandarin is required
- Willingness to work flexible & extended hours weekend availability is required
- Must be available to work night shifts
- Completion of the Canadian Securities Course (CSC) and Conduct and Practices Handbook Examination (CPH) is required
- Minimum 1 year of Custody Operations or similar experience in client servicing and/or financial service operations preferred, but not required
- Extensive technical knowledge of all systems required to perform the job