Regional Associate

The Regional Associate works directly with the Regional Director to develop and implement a regional business plan to service and support current and potential financial advisors and clients throughout designated regional territories.  This sales role involves having direct communication with advisors by making daily proactive reach outs to financial advisors in an assigned territory to complement the Regional Director’s field coverage.  

    • San Diego, CA
    • Marketing & Client Service
    • Private Client Services

Description

The Regional Associate works directly with the Regional Director to develop and implement a regional business plan to service and support current and potential financial advisors and clients throughout designated regional territories.  This sales role involves having direct communication with advisors by making daily proactive reach outs to financial advisors in an assigned territory to complement the Regional Director’s field coverage.  

Responsibilities

Work closely with the Regional Director(s) to enhance sales within an assigned region.

Assess opportunities within the territory by analyzing regional details, trends, and data resources.

Connect with prospective financial advisors to:

  • Develop and maintain ongoing relationships
  • Uncover opportunities for our products and services within the financial advisor community
  • Create meeting and seminar opportunities for the Regional Director

Effectively communicate the firm’s investment philosophy, rationale, products and services.  Maintain knowledge of programs and fees associated with brokerage firm relationships.

Employ departmental business practices to your process (ie. Enter call/meeting notes into Salesforce, use a consultative sales process, follow department best practices).

Maintain ongoing knowledge of marketing materials associated with our products as well as the capital markets and the mutual fund industry.

Qualifications

Bachelor’s degree and two years of sales or client services experience in the investment industry with a solid understanding of stocks, stock markets, managed money and the financial services industry.

or

High School diploma or equivalent and at least three years of sales or client services experience in the investment industry with a solid understanding of stocks, stock markets, managed money and the financial services industry.

Action oriented and accountable – Strong ability to seek and look for business opportunities.

Sets priorities – Effective in ability to independently establish priorities, identify roadblocks and achieve resolution.

Constructive communication style – Ability to find common ground, use humor effectively.

Exemplary communication skills – Written, presentation and verbal; Ability to effectively present information in a variety of formats and settings; Content delivery is clear and concise.

Strong negotiation skills – Comfortable looking for positive outcomes while also placing client needs first.

Ability to demonstrate teamwork consistently, build rapport, model teamwork behavior.  Ability to work collaboratively with teams to meet milestones and goals.

Solid MS Office skills/Prior use of a CRM system and PowerPoint beneficial).

At the time of hiring, the position would require registration with either (a) Series 7 and 66 or (b) Series 7, 63 and 65.  If the candidate does not fulfill these requirements, they would need to successfully pass the Series 7 and Series 66 within 6 months of hire.