- Series 7 and 63 required, 66 and/or 24 a plus
- An existing book of transferable assets
- More than 2 years of experience as a Financial Advisor/Stock Broker
- Clean CRD
Our Client, an independent, BROKER-FRIENDLY financial organization located in Manhattan’s Financial District, is seeking to bring on a Vice President of Investments to manage assets and an existing team of 3-5 Junior Brokers (with override). The Firm practices a unique model for training, sponsoring, and mentoring Junior Brokers that allows each Vice President of Investments to build his or her own team of up to 15 Junior Brokers.
The ideal candidate is a serious investment professional with more than 2 years of experience, an existing client-base who understands the business. He or she is highly motivated, has a strong work ethic, and a knack for management.
Our client strongly suggests that individuals with leadership qualities apply for this position.
This is an excellent opportunity for someone looking for a new platform from which to propel their business. The greatest values that our Client offers are:
- Highly competitive payout (sign-on incentive is negotiable)
- Health benefit options
- In-house support staff that offers sales, operations, and compliance assistance so that investment professionals can focus on sales and asset management
- A model that encourages and provides resources for Senior Advisors and Vice Presidents to build a team
- On-site economist and strategist
Our Client has an experienced in-house compliance, accounting, and legal counsel and will provide transition assistance, including helping the chosen candidate to exercise proper fiduciary duty to his or her existing clients.