External Wholesaler Regional Manager – RIA (Registered Investment Advisor) Segment recruitment

We offer these strategies as single-asset-class components as well as complete investment solutions. Our wide range of mutual fund and separate account strategies are primarily sold to financial intermediaries across the U.S.

JOB SUMMARY:

The Regional Manager is responsible for new business development and client service through the RIA (Registered Investment Advisor) channel within the specific geographic market within which they live.

ESSENTIAL FUNCTIONS:

• Develops annual business plan and devises the necessary activity strategies, tactics and resources in order to achieve those goals and grow the assigned territory.

• Develops, builds and maintains relationships with key RIAs, consultants and clients within focus list of firms within home territory.

• Meets with advisors, in the assigned territory and educates them on SMA and Fund product lines

• Tracks all meetings and sales events through CRM system.

• Develops and maintains a professional sales presentation which can be adapted to a variety of audiences.

• Performs new business and client review presentations. 

• Interacts with research staff to coordinate client service efforts.

• Solid understanding of mutual fund advisory programs and UMA/SMA platforms in the RIA segment

• Keeps abreast of the current economy, Client Portfolios, performance and future outlook.

ADDITIONAL RESPONSIBILITIES:

• Educates and mentors internal client service associate. 

• Provides feedback from the field to appropriate individuals within the firm in order to  enhance service and deliver a superior product.  

• Develops and shares value added pieces for use in the field. 

• Cross-pollinates ideas and sales leads across territories as well as across departments.

KNOWLEDGE, SKILLS AND ABILITIES:

• Knowledge of the Investment Management Industry and key portfolio management concepts.

• Understanding of separately managed accounts

• Prioritizes, plans and takes initiative.

• Relies on experience to make good decisions and to enhance problem-solving skills.

• Communicates effectively and persuasively with colleagues, clients and brokers.

• Excels in a fast-paced environment while meeting deadlines and executing responsibilities with minimal errors.

• Promotes a team environment.

• Supports and upholds Firm values and treats others with respect and consideration.

• Acts as a role model and resource for junior employees and offers guidance.

EDUCATION AND EXPERIENCE:    

• Bachelor’s preferably in marketing or a finance-related major.

• Five plus years in the investment management industry.

• Past experience selling and servicing mutual funds and separately managed accounts in this specific territory and channel

• CFA, CIMA or CFP desirable.

• Required licensees Series 6 or 7 and 63.

• Valid driver’s license.

INDEPENDENT ACTION:

Duties are performed independently, consulting with RIA Channel Director or Managing Partner as needed.
 

DIRECT REPORTS:

Assists in the training and mentoring of the Investment Services Associates and acts as a resource for their knowledge and development.
 

PHYSICAL REQUIREMENTS:

• Extensive overtime may be necessary.

• Excellent written and verbal communication skills.

• Maintains a professional appearance and demeanor.