Investment Officer Senior

INVESTMENT OFFICER SENIOR WHAT IS THE OPPORTUNITY? Responsible for sales of a broad range of investments, with a particular emphasis on taxable and tax-exempt fixed income securities as well as equity and fixed income mutual funds, to a highly diverse client base

Determine and document specific client investment objectives, match those objectives to appropriate investment vehicles, then make specific investment recommendations

Maintain a high degree of investment knowledge as well as a strong understanding of compliance and regulatory issues

Communicate effectively with clients and Bank colleagues in a variety of settings

Achieve and maintain significant revenue production and other performance goals, including prospecting for new clientele, cross-selling bank product, and effectively partnering with bank colleagues What you will do Deliver a high degree of personal contact that creates a superior client experience

Proactively communicate with clients about current conditions in the financial markets, investment alternatives, asset allocation/concentrations, and recommends necessary adjustments to their investment strategies

Team effectively with CNB colleagues to set strategies and provide services across the full product spectrum

Analyze financial needs of clients and monitor their ongoing financial and personal circumstances to make adjustments or take action accordingly

Provide on-going communication to client regarding adjustments or actions that should be taken

Maintain proficient knowledge of all CNS systems as required to perform job requirements

Structure client investment portfolios and rebalance alignment of asset allocation with client’s investment objects and risk tolerance

Review the assets in each account periodically to ensure that investments meet the intent and strategies of the client

May determine asset model and select from menu of funds/managers consistent with client objective

Responsible for the appropriate preparation and timely delivery of client presentation book

May participate in periodic reviews with team

Open new accounts timely; reviews and verifies documentation upon receipt for completion and discrepancies

Prepare KYCQ forms for clients without an established risk rating and other forms for new account packets

Secure authorization and approval of documents in accordance with bank procedures and compliance

Prepare new account documentation and follow up with client on missing information

Develop new relationships through internal sources, from referrals, and through personal community involvement

Creates opportunities to develop and promote ideas to win new business and cross sell other Bank services to existing clients

Initiate sales calls and attends sales meetings and presentations

Responsible for the appropriate preparation and timely delivery of client presentation materials

Maintain all appropriate training and continuing education requirements for licenses and certifications

Ensure appropriate communicate about portfolio diversification, suitability and risk profile objectives to clients

Review accounts with municipal and corporate bond positions for appropriate diversification

Must-Have* Bachelor's Degree or equivalent Minimum of 5 to 10 years of experience in direct investment sales required

Minimum 3 years of investment, securities and/or portfolio management experience required Minimum 3 years of sales experience required Minimum 3 years of experience working with MS Office software and database application NASD Series 7 & (63/65) Or 66 licenses required, insurance license desired Skills and Knowledge Courses in money and banking, accounting, investments and finance strongly desired

Ability to interact effectively with all levels of Bank personnel and clients required

Must possess excellent written and verbal communication skills

Must be able to achieve a significant level of revenue production from the sale of investment products

Compensation This position is a commission-based role and does not have a set salary range *To be considered for this position you must meet at least these basic qualifications The preceding job description has been designed to indicate the general nature and level of work performed by employees within this classification

It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities, and qualifications required of employees assigned to this job

Benefits and Perks At City National, we strive to be the best at whatever we do, including the benefits and perks we offer our colleagues

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ABOUT CITY NATIONAL City National Bank, a subsidiary of Royal Bank of Canada, is the largest bank headquartered in Los Angeles with $92.03 billion in assets as of April 30, 2024

Founded in 1954, City National provides personalized banking, investment and trust services in select markets including Los Angeles, Orange County, San Diego, the San Francisco Bay Area, New York City, Nashville, Atlanta, Delaware, Las Vegas, Washington D.C

and Miami.* In addition, the company and its investment affiliates manage or administer $96.83 billion in client investment assets

City National is dedicated to strengthening communities, and in 2023 alone, the company made more than $11 million in charitable contributions to nonprofits that support the communities it serves

*City National Bank does business in Miami and the state of Florida as CN Bank

For more information about City National, visit cnb.com

EQUAL OPPORTUNITY EMPLOYER & REASONABLE ACCOMMODATION City National Bank is an equal opportunity employer committed to promoting and maintaining a diverse, equitable and inclusive working environment where differences are valued and encouraged

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, veteran status or any other basis protected by the laws or regulations in the locations where we operate or in our Code of Conduct

READ MORE If you are a qualified individual with a disability or a disabled veteran, you have the right to request a reasonable accommodation for any part of the employment process

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