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Investor Relations Executive

Investor Relations Executive

Scale IRSouthampton, New York, United States
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Title : Investor Relations  Executive

Location : Southampton, NY - Hybrid

About the Role

At Platinum Ridge, we understand that the most successful financial sales professionals don't always come from traditional finance. Many of our top performers began their careers in industries where trust, relationship-building, and consultative selling were at the core of their success.

The Opportunity

By combining your background with our training, resources, and product suite, you can transition into a high-growth career in financial sales. We provide the tools, support, and platform for you to leverage your experience and help clients achieve long-term economic success.

Key Attributes

1. Financial Knowledge & Analytical Skills

  • Strong understanding of investment products (mutual funds, private equity, ETFs, bonds, retirement accounts, insurance, etc.).
  • Ability to analyze financial statements, market trends, and client portfolios.
  • Explaining complex financial concepts in clear, relatable terms.

2. Sales & Business Development Skills

  • Prospecting and lead generation (cold calling, networking, referrals, digital funnels).
  • Building and maintaining long-term client relationships.
  • Effective closing techniques and objection handling.
  • Cross-selling and upselling complementary products.

    • 3. Communication & Interpersonal Skills

  • Active listening to understand the client's needs and goals.
  • Persuasive verbal and written communication.
  • High emotional intelligence (reading client behavior, adapting tone and approach).
  • Presentation skills (both one-on-one and group settings).

    • 4. Client-Centric Advisory Mindset

  • Needs-based selling rather than product-pushing.
  • Ability to create personalized financial plans.
  • Building trust through transparency, consistency, and ethical practices.
  • Strong client service orientation to increase retention.

    • 5 Regulatory & Compliance Knowledge

  • Familiarity with FINRA, SEC, and other governing body regulations.
  • Understanding fiduciary responsibility and suitability standards.
  • Staying updated on changes in laws and compliance requirements.

    • 6. Technology & Data Skills

  • Proficiency with CRM platforms, financial planning tools, and trading systems.
  • Using AI / analytics for client insights, portfolio analysis, and lead scoring.
  • Comfort with digital sales channels : webinars, virtual meetings, and social media outreach.

    • 7 Resilience & Performance Mindset

  • Ability to handle rejection and setbacks with persistence.
  • Goal-oriented and disciplined in tracking KPIs (calls, meetings, conversions).
  • Adaptability to changing market conditions and new financial products.

    • 8 Negotiation & Influence

  • Skilled in negotiating fees, terms, and deal structures.
  • Influence clients by demonstrating ROI and long-term value.
  • Building credibility through expertise and thought leadership.

    • Experience & Skills

    5 - 10 Years of Experience

    1. Advanced Financial Expertise

  • Knowledge of alternative investments (private equity, hedge funds, commodities, crypto).
  • Tax-efficient investing strategies.
  • Estate planning familiarity (trusts, succession planning).

    • 2. Marketing & Branding Skills

    Personal branding on LinkedIn and other professional platforms.

    Content creation (blogs, webinars, podcasts) to build thought leadership.

    Social selling and digital advertising experience.

    3. Multilingual & Cross-Cultural Skills

  • Speaking multiple languages to reach broader client bases.
  • Understanding cultural differences in financial decision-making.

    • 4. Advanced Technology & Data Skills

  • Data visualization skills (Excel dashboards, Tableau, Power BI).
  • Familiarity with AI-driven portfolio tools and robo-advisors.
  • Cybersecurity awareness to protect client information.

    • 5. Negotiation & Deal-Making Beyond Basics

  • Experience with high-net-worth individuals (HNWI) or institutional clients.
  • Ability to structure complex investment deals or custom portfolios.

    • 6. Leadership & Team Collaboration

  • Mentoring junior sales associates.
  • Cross-functional collaboration with product, marketing, and compliance teams.
  • Project management certifications (e.g., PMP, Agile) for structured client campaigns.

    • 7. Public Speaking & Media Presence

  • Comfortable presenting at conferences or industry events.
  • Experience handling media interviews or panel discussions.
  • Ability to represent the firm as a thought leader.

    • 8. Networking & Relationship-Building Extras

  • Established network of financial advisors, brokers, or CPAs.
  • Membership in industry associations (CFA Institute, FINRA, Chamber of Commerce).
  • Strong community ties or philanthropic involvement.

    • Must Haves

    1. Integrity & Compliance

  • Any history of fraud, misrepresentation, or regulatory violations (e.g., SEC, FINRA, state agencies) is a red flag.
  • Candidates must demonstrate clean background checks, including credit, criminal, and licensing history.
  • Unwillingness to follow compliance rules, documentation standards, or suitability requirements is a deal-breaker.

    • 2 Client-First Ethics

  • "Product-pushing" over client needs won't work. Candidates must show commitment to fiduciary responsibility or, at a minimum, suitability standards.
  • A disregard for transparency, honesty, or ethical conduct in sales conversations is unacceptable.

    • 3. Professionalism & Reliability

  • Chronic lateness, missed meetings, or failure to follow through on commitments.
  • Poor communication habits (ignoring clients, lack of responsiveness).
  • Negative attitude or inability to work within a team culture.

    • 4. Coachability & Growth Mindset

  • Resistance to training, feedback, or using firm-provided tools / CRM.
  • A "know-it-all" mindset that prevents adapting to new strategies or compliance updates.

    • 5. Basic Qualifications

  • Failure to obtain or maintain necessary licenses (Series 6 / 7, 63 / 65, insurance, etc., depending on the role).
  • Lack of legal work authorization in the country of operation.
  • Inability to meet minimum technology standards (CRM, virtual meetings, compliance systems).
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