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Investment Specialist (Internal Wholesaler) - RIA

New York, NY 10153

Post Date: 10/10/2017 Job ID: 1882 Industry: Investment Management

Investment Specialist (Internal Wholesaler)


The Investment Specialist (Internal Wholesaler)  is a sales professional with strong relationship building skills, product and capital market knowledge and sales experience. This individual will perform as part of a team that includes a Regional Director, with a primary responsibility of driving mutual fund sales and relationship management within our Registered Investment Advisor sales team.


  • Drive sales by developing, maintaining, and deepening relationships with new and existing RIAs; influence FA choices using a consultative sales process
  • Partner with External Wholesaler to develop a business plan, manage a territory, and drive regional and corporate goals and objectives. 
  • Maintain and leverage a deep understanding of all our custodial partners, primarily, but not exclusively Schwab, Fidelity, and TD Ameritrade, and their platforms.
  • Make proactive telephone calls to an assigned territory. Answer and convert inbound calls from the territory into additional opportunities to drive sales.
  • Demonstrate an understanding of the product portfolio features and benefits.
  • Conduct one-on-one Advisor meetings and/or deliver group presentations; attend and participate in work conferences when applicable (limited travel).
  • Develop and maintain updated knowledge of our investment products and the industry, provide scheduling support, prepare for meetings, manage relationships, provide support for events and exhibits, while understanding we work in an environment of rapid change.
  • Drive relationships with clients via interpersonal relationships and a deep understanding of products, markets, and consultative sales.
  • Use software, including CRM and proprietary programs such as Discovery, to research business, log activity, and run, understand and interpret hypothetical scenarios via software such as Morningstar.
  • Assemble and mail marketing kits in conjunction with the External Wholesaler’ s sales travels.

  • At least 2 years of experience in the financial services industry
  • Bachelor’ s degree
  • Must have Series 6 or 7 and 63
  • Experience in the RIA niche marketplace a plus

Knowledge and Skills/Abilities:
  • Exhibit high level of professionalism
  • Proven ability to build strong relationships
  • Requires basic knowledge of the organization, products and/or services
  • Capable of multi-tasking and working efficiently under stress and high volume
  • Proficient in software applications (ex. Microsoft Word, Excel.)
  • Excellent customer service skills with the ability to actively listen to clients and demonstrate
  • Capable of effectively operating in a team oriented and highly collaborative environment
  • Excellent interpersonal, leadership and oral/written communication skills



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