UHNW Registered Representative

Looking to add to our Team of Traders 

Seminario Securities LLC – UHNW Registered Representative – Managing Director

Job Requirements:

• Grow client net revenue annually in core product areas: investment management, capital markets, and banking & lending

• Create sales and marketing strategies designed to generate revenue growth and to acquire new target clients within different sectors

• Profile, qualify, and convert prospects into SSLLC clients.

• Identify and execute on new business opportunities with existing clients

• Orchestrate appropriate specialist resources to develop tailored, long-term solutions for clients/prospects

• Present and communicate to clients/prospects complex financial concepts and investment strategies in a way that is easily understood

Relationship Management:

• Serve as the client’s advocate and primary contact for strategic advice on financial matters

• Create, organize, and implement a wealth management strategy designed to deepen relationships with existing clients

• Manage client expectations regarding what can and cannot be executed on their behalf

• Ensure financial strategies are kept current and appropriately aligned with client objectives

• Understand and communicate the risk involved with financial and investment strategies

• Ensure all client inquiries and problems are handled effectively and resolved

• Help team members to acquire experience and establish credibility with clients

Compliance Oversight and Controls:

• Comply with all regulatory policies and control procedures regarding client transactions and suitability

• Oversee and ensure clients are on-boarded appropriately including all required documentation is complete and accurate

• Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding SSLLC, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency.

Skills and Knowledge:

• Client facing experience, preferably in the financial services industry. Strong knowledge of investments and credit products

• Strong knowledge of financial industry and current market conditions

• Strong verbal and written communication skills. Excellent interpersonal skills, problem solving, team work and analytical skills

• Ability to establish relationships and partner effectively with various groups including sales, service, operations and compliance

• Ability to understand, utilize and learn computer and web based applications

Qualifications and Education :

• 10+ years of experience

• Licensing: Series 7 & 66 (or 63 & 65) 

• Current book of AUMs

• Extensive and proven experience in Private Banking having covered the UHNW market Extensive experience in working with and/or leading client teams and transactions Demonstrated track record in relationship selling

Primary Location: Coral Gables, FL. 

Compensation: Based on AUMs (Book of Business) / % Payout