Investment Sales Manager

Overview

Ocean Bank is seeking an experienced Investment Sales Manager to lead and grow the investment sales function within Ocean Financial Services and the Wealth Management Division. This role is responsible for driving non-deposit investment product sales, developing financial advisors and registered referral partners, strengthening client and prospect pipelines, and ensuring sales practices are conducted in a compliant, client-focused manner. The ideal candidate is a strategic sales leader with strong wealth management experience, the ability to recruit and coach high-performing investment professionals, and a proven track record of building relationships across banking, brokerage, and advisory channels.

Responsibilities

• Lead the investment sales function, including sales strategy execution, pipeline management, referral activity, production goals, and performance reporting.
• Recruit, develop, coach, and monitor financial advisors, financial consultants, wealth managers, and registered bank employees involved in investment referral or sales activities.
• Partner with Relationship Managers, Wealth Management leaders, compliance partners, and other business lines to identify appropriate client opportunities and support business growth.
• Drive organic and inorganic growth strategies, including advisor recruiting, RIA acquisition opportunities, advisor lift-outs, and strategic partnership development.
• Lead sales meetings, pipeline reviews, client presentation preparation, promotional initiatives, product campaigns, and sales training programs.
• Support client and prospect meetings, as appropriate, to present investment solutions, reinforce required disclosures, and help strengthen client relationships.
• Oversee sales practices, referral follow-up, documentation, client onboarding support, trade and operations coordination, portfolio-review preparation, and service escalation follow-through.
• Monitor investment sales activity to help ensure compliance with applicable policies, procedures, disclosure requirements, FINRA, SEC, BSA/AML, consumer compliance, bank referral requirements, and other regulatory standards.
• Analyze sales trends, referral results, pipeline activity, portfolio information, and production data to identify opportunities, improve performance, and support management reporting.
• Represent the firm at industry events and networking opportunities to identify talent, deepen market presence, and develop strategic business relationships.

 

This position is for Ocean Financial Services (OFS), a subsidiary of Ocean Bank.

Qualifications

Education/Experience:

Requirements

Bachelor’s degree in business administration, Accounting, Finance, or a related field.

8+ years of retail brokerage or wealth management experience required.

3+ years in a supervisory or leadership role.

Combination of education and experience will be considered. 

 

Skills & Competencies

Active network of broker and advisor contacts in key markets to achieve recruiting objectives.

Strong knowledge of investment products, financial markets, portfolio concepts, client profiling, risk tolerance assessment, best interest and suitability determination, and non-deposit investment product sales practices.

Demonstrated ability to develop and execute investment sales strategies, manage client and prospect pipelines, track referral activity, and drive production goals while maintaining a client-first and compliance-focused approach.

Comprehensive understanding of NDIP, broker/dealer and advisory operations, networking agreements, trade processing, client onboarding, disclosure requirements, sales supervision, BSA/AML, KYC, suitability, and applicable bank referral requirements.

Knowledge of banking, securities, and investment-related laws, rules, and regulations, including FINRA, SEC, BSA, AML, OFAC, Patriot Act, consumer compliance, privacy, and internal compliance policies and procedures.

Proven ability to coach, monitor, and support financial consultants, registered bank employees, and referral partners in prospecting, client outreach, consultative sales practices, referral follow-up, documentation, and required disclosures.

Strong consultative sales, business development, negotiation, presentation, and relationship management skills with the ability to build trust with clients, prospects, centers of influence, and internal business partners.

Ability to analyze sales trends, pipeline activity, referral results, client needs, product performance, and portfolio information to prepare accurate reports, identify opportunities, and recommend actions to improve performance and client experience.

Excellent organizational, interpersonal, written, and verbal communication skills, including the ability to communicate clearly with clients, senior management, financial consultants, Relationship Managers, and control partners.

Strong problem-solving, judgment, follow-through, and service orientation, with the ability to proactively manage client inquiries, operational issues, escalations, competing priorities, and time-sensitive sales or compliance matters.

Proficiency with Microsoft Office applications, CRM or sales pipeline management tools, broker/dealer platforms, portfolio or performance reporting systems, and other technology used to support investment sales, operations, and management reporting.

 

Preferences

• Bilingual English/Spanish communication skills.

Licenses/Certifications (required)

• FINRA Series 24 and either Series 63 or Series 66 licenses.

Job Posting Locations

In this role you can work hybrid from Miami, Florida, United States