VP, Relationship Manager
ComplyRight, Inc.
Financial Consultant
ComplyRight, Inc.
full-time
Posted on:
Origin: • 🇺🇸 United States • Florida
Visit company websiteJob Level
Mid-LevelSenior
About the role
- Build and maintain long-term relationships with clients through consistent communication and service.
- Understand clients' financial goals, risk tolerance, and investment time horizon.
- Create customized financial plans covering investments, retirement, education, insurance, and estate planning.
- Provide tailored investment recommendations and execute trades across a range of financial products (stocks, bonds, mutual funds, ETFs, options, etc.).
- Monitor portfolio performance, rebalance as needed, and deliver regular performance reports.
- Conduct periodic reviews to adjust strategies based on changing client needs and market conditions.
- Assess clients’ financial situations, including income, expenses, assets, liabilities, and goals.
- Drive business growth through networking, referrals, and marketing initiatives.
- Maintain accurate records of client interactions and stay current on regulatory changes.
- Ensure full compliance with SEC, FINRA, BSA, KYC, and internal policies.
- Perform due diligence on the BSA/KYC write-ups and profile; conduct customer interviews in order to profile them as well as to comply with BSA, KYC and other bank policies and procedures.
- Continuously expand product knowledge and stay informed on market trends and investment opportunities.
- Position is for Ocean Financial Services (OFS), a subsidiary of Ocean Bank.
Requirements
- Associate’s Degree.
- Five (5) years of investment related experience in product sales and servicing customers in international/private banking branch operations.
- May require occasional travel for training, conferences, or branch office visits.
- Must have exceptional communication, interpersonal, and presentation skills.
- Must have strong analytical, problem-solving, and decision-making abilities.
- Must have ability to build rapport, establish trust, and maintain long-term client relationships.
- Must have a thorough understanding of financial markets, investment products, and economic principles.
- Must be proficient in financial planning software, CRM systems, and other relevant technology.
- Must have unwavering ethical conduct and commitment to client confidentiality.
- Experience working in a sales team, and high-quality service advocacy.
- Must possess excellent organizational, interpersonal, time management, written and verbal communication (English and Spanish) skills.
- Computer proficiency in MS Software (e.g. Excel, Word, and Outlook).
- FINRA Series 7 and Series 66 (or Series 65) licenses are mandatory.
- Life, Health, and Variable Annuity insurance licenses may be required depending on the products offered.
- Preference: A bachelor's degree in finance, business, economics, or a related field. Prior experience in sales, financial services, or client service is highly advantageous.
