VP Investment Counselor

JOB SUMMARY

The Investment Counselor is responsible for providing high-touch, comprehensive investment guidance and tailored solutions to clients within the Wealth Management Division of a bank’s broker-dealer. This role requires the ability to analyze and assess clients’ financial goals, risk tolerance, and investment needs while offering personalized portfolio management and investment advice. Investment Counselors work closely with Financial Advisors, Private Bankers, and other Wealth Management professionals to deliver an integrated service offering.

This role requires extensive knowledge of financial markets, investment products, regulations, and wealth management strategies to ensure delivery of superior client service and financial advice in alignment with client objectives.

DUTIES OF THE POSITION

The duties of the position include, but are not limited to, the following:

Client Relationship Management:

• Develop and maintain strong relationships with high-net-worth (HNW) and

ultra-high-net-worth (UHNW) clients, providing personalized investment advice to help meet their long-term financial goals.

• Regularly meet with clients to discuss investment performance, portfolio strategies, risk tolerance, and changes in financial objectives.
  

• Provide expert guidance on investment strategies across asset classes (equities, fixed income, alternatives, private equity, etc.).

• Assist clients in portfolio construction, rebalancing, and optimizing asset allocation in accordance with their risk profile and financial objectives.

Portfolio Management & Advisory:

• Lead the design and implementation of customized investment strategies and portfolio solutions based on comprehensive client needs assessments.

• Monitor, evaluate, and rebalance client portfolios as needed to ensure they align with the agreed-upon investment strategy and market conditions.

• Provide detailed market insights and investment performance updates to clients, ensuring they are informed of any significant changes or opportunities in the market.

• Leverage a combination of proprietary investment products, third-party offerings, and institutional strategies to create diversified portfolios that meet the client’s financial objectives.

Investment Research & Analysis:

• Conduct thorough analysis of financial markets, economic trends, and asset classes to provide actionable investment insights.

• Work with internal and external research and product specialist teams to stay updated on market conditions, investment trends, and new products and strategies.

• Utilize sophisticated financial models, risk management tools, and technology platforms to assess potential investments and make recommendations.

Collaboration with Wealth Management Teams:

• Collaborate closely with financial advisors, relationship managers, and other professionals within the wealth management division to ensure clients receive holistic wealth solutions.

• Partner with the Private Banking team to coordinate investment strategies with clients’ broader wealth planning, tax, estate, and philanthropic objectives.

• Educate and train junior staff on investment strategies, market developments, and client relationship management techniques.

Compliance and Risk Management:

• Adhere to all relevant regulatory and compliance standards, including SEC, FINRA, and bank policies regarding investment advice, suitability, and portfolio management.

• Monitor portfolio risk and ensure that investment recommendations meet the clients’ risk tolerance and are in line with the bank’s internal guidelines and best
  

practices.

• Ensure all client interactions and investment transactions are documented and compliant with regulatory and internal requirements.

Business Development:

• Actively participate in business development efforts to attract new clients, including providing investment presentations, preparing proposals, and attending client meetings.

• Assist with cross-selling other banking and financial services, contributing to the growth of the wealth management division.

• Attend industry events, conferences, and networking functions to promote the bank’s investment services and stay ahead of market trends.

GENERAL REQUIREMENTS FOR THIS POSITION:

• Strong understanding of financial markets, economic trends, and financial instruments.

• Excellent communication and presentation skills, with the ability to simplify complex financial concepts for clients.

• High degree of professionalism, integrity, and client focus.

• Strong analytical, problem-solving, and decision-making skills.

• Ability to work independently and collaboratively within a team environment.

• Strong organizational and time-management skills, with the ability to manage multiple client relationships effectively.

• Ability to understand, speak (fluently), read and write English and Spanish

• Ability to write routine reports and correspondence

• Ability to multitask and work under pressure

• Effectively speaking before groups of customers or employees

• Assume evolving duties and responsibilities of position

• Work all hours required to fulfill job duties and responsibilities including, weekends, evenings and holidays as needed)

• Travel as required

• Provide coverage for other positions as requested

• Ability to carry and lift boxes and/or other objects that may weigh between 10 and 25 pounds.

• Perform additional duties and responsibilities as assigned by management

Bci Securities is an Equal Opportunity Employer - All qualified applicants will receive consideration without regard to race, color, religion, gender, national origin, age, disability, veteran status, or any other factor determined to be unlawful under applicable law.