Seminario Securities LLC · 4 days ago
UHNW Registered Representative
Miami, FL
Full-time
Onsite
Senior Level, Lead/Staff, Director/Executive
10+ years expSeminario Securities LLC is looking to add to their team of traders by hiring a UHNW Registered Representative. The role involves growing client net revenue, creating sales strategies, and managing client relationships while ensuring compliance with regulatory policies.
Financial Services
Responsibilities
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
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
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
Qualification
Required
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
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
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
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
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
Company
Seminario Securities LLC
Seminario Securities LLC is an independent, privately owned broker dealer registered with The Financial Industry Regulatory Authority (“FINRA”).
11-50 employees
Funding
Current Stage
Early StageCompany data provided by crunchbase