Vice President, Senior Investment Officer GENERAL PURPOSE
The Senior Investment Officer serves as a key driver of business growth and client excellence, responsible for actively expanding the firm's client base through strategic prospecting, referral cultivation, and cross-selling of investment services across AWTM and QRP channels. This role combines the disciplined management of existing client portfolios with a proactive business development mandate—identifying new opportunities, deepening relationships with current clients, and converting prospects into long-term partners. In addition to client-facing responsibilities, the Senior Investment Officer provides critical investment oversight and operational leadership, including compliance reporting, committee participation, trade execution, and mentorship of junior investment staff, ensuring the firm's assets under management grow while maintaining the highest standards of fiduciary responsibility.
This role requires the candidate to be CFA – Chartered Financial Analyst
ESSENTIAL DUTIES AND RESPONSIBILITIES
1. Manage existing client assets.
- Meet with clients no less than annually to confirm investment objectives.
- Achieve consistent performance to satisfy clients' needs.
- Grow current assets under management.
- Retain current client base
- Prepare and deliver presentations to both AWTM & QRP clients and prospects. This may include speaking at group presentations with either AWTM or QRP personnel to cross sell investment services and as business development.
2. Source and develop new clients
- Bring in new clients
- Build team as business grows to accommodate.
- Identify and pursue prospective clients through networking, referrals, industry events, and targeted outreach.
- Develop and maintain a pipeline of qualified prospects, tracking progress and follow-up activities consistently.
- Conduct introductory meetings and discovery sessions with prospects to understand their investment needs and present tailored solutions.
- Collaborate with AWTM and QRP teams to cross-sell services and convert prospects into long-term clients.
- Assess business growth regularly and recommend team expansion when client volume and AUM levels warrant additional staffing.
3. Compliance reporting.
- Complete or review all investment reviews for assigned accounts accurately and in a timely manner.
- Complete filing 13-F report quarterly and NPX annual filing.
- Complete Investment Policy Statements for all managed accounts and updates as necessary.
- Compile internal trade restriction list and route to employees quarterly.
- Prepare or review Public ESOP Company Review weekly and distribute to group internally.
4. Chair of the Investment Committee.
- Participate in various other Company committees as requested/needed.
- Offer insight on market performance based on research and experience.
5. Execute trades with brokers and dealers.
- Perform trades accurately and timely, resulting in zero dollars lost due to trading errors.
6. Manage/mentor Portfolio Manager
EDUCATION/EXPERIENCE
- Bachelor's degree in finance or related field.
- 10+ years' experience in portfolio management.
- CFA – Chartered Financial Analyst
SKILLS/ ABILITIES
- Superior knowledge of job required systems and programs.
- Able to multi-task.
- Able to communicate clearly and consistently, both verbal and written.
- Able to effectively and quickly teach tasks to others.
- Familiar with trust accounting systems (Fitek Global Wealth), and Bloomberg as well as Microsoft Office/Outlook
BENEFITS
- 401(k) matching
- Dental insurance
- Flexible spending account
- Health insurance
- Health savings account
- Life insurance
- Paid time off
- Referral program
- Retirement plan
- Vision insurance
- Employee Stock Ownership Plan
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