Investment Executive Job Description

This investment executive job description sample helps you to know the main job duties and responsibilities required to post a job or create a profile. View our simple job description for investment executive example.

Sample Investment Executive Job Description Profile

Job Title

Investment Executive


1) Sells products services to clients for investment purposes, applying knowledge of securities, investment plans, market conditions, regulations, and situation of clients.

2) Identifies potential clients, using advertising campaigns, mailing lists and personal contacts.

3) Solicits business from potential clients.

4) Interviews clients to define position, resources, assets available to invest, and goals.

5) Provides clients with information and advice on purchase or sale of securities, services, and investment plans, based on review of professional publications and other literature, and knowledge of securities market services industry.

6) Completes sales order tickets submits completed tickets to support personnel for processing of client requested transaction.

7) Must pass state examination to receive license become registered to sell securities.

8) May read status reports and perform calculations to monitor client accounts verify transactions.

9) May work for firm that offers discounted brokerage fees does not offer advice to clients.

10) May develop and implement plans, and sell insurance, real estate, or securities [Financial Planner profess. kin. 250.257-014]..

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