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Investment Program Manager
Position Summary: Under the direction of the Director of Wealth Management, supervises and coordinates activities of personnel in performing internal operations in respective office by performing the following duties. Expected to handle specialized Investment operations work of an advanced nature and to provide support to investment team and the Director of Wealth Management.
Systems – LPL Clientworks
- Works closely with LPL and understands LPL systems
- Assist in Bank and LPL Audits
- Calculates Advisor payroll and track Advisor GDC (Gross Dealer Concession)
- Works with First International Insurance for tracking and payment of Insurance products
- Main point of contact for Advisor Assistants
- Main point of contact with OSJ (ICA Group)
- Assist in Book purchases and transition of assets
- Maintain putting processes in place for smooth running Branches
- Assists with quarterly meetings for all FIB Investment meetings
Marketing and Seminars
- Design and implement a marketing plan with the group as a whole utilizing ICA Marketing.
- Obtain compliance approval on all seminar materials and presentations generated.
- Assist in preparation of seminars and other marketing materials in conjunction with ICA Creative Services.
- Establish systems for follow-up of seminars and other marketing strategies
Education and Miscellaneous Services
- Keep Representative informed of operations and compliance updates relative to their business.
- Provide training as required to Representative and their personnel.
- Attend LPL and OSJ Meetings: Pocket meetings, Sales Conferences, and other conferences as necessary.
- Stay current on LPL policies, procedures, and products.
- Continuous update of Systems.
- Maintain continuous contact with Representatives and Bank personnel.
- Assists in preparing and monitoring annual budget.
- Compiles required and special reports on operating functions of First International Investments.
- Gathers and accurately reports all financial data as required by government regulations.
- Directs employee training to improve efficiency and ensure conformance to standard procedures and practices.
- Conducts certain staff meetings to discuss operational problems or explain procedural changes or practices.
- Performs business development activity in branch service area.
- Explains, promotes, cross-sells or refers bank, insurance, and trust products or services.
- Reviews emails and branch messages to remain current on policy or procedural changes and new product offerings.
- Attends periodic training to receive information about various bank services and participates in an exchange of ideas and problems.
- Assists with various projects and assignments as needed.
- Comply with federal, state, and company policies, procedures, internal controls, and regulations.
- Responsible for confidentiality including protection of sensitive information and its integrity in compliance with First International Bank & Trust information security and departmental policies, standards and procedures. Responsible for reporting events including suspicious activity as well as cooperating with all investigations.
Qualifications: To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
Education and/or Experience: Must be able to obtain and maintain a series 7, series 66, necessary insurance and investment licensing. A minimum of five years’ experience in the industry is highly preferred.