Producing Investment Services Manager

Main Ofc West - 9th Fl
717 W Sprague Ave
9th Floor
Spokane, WA 99201, USA

The Producing Investment Services Manager operates in a dual role as both a revenue‑producing Investment Officer and the managerial leader responsible for the operational, compliance, and administrative functions of the Investment Services program. This position is accountable for personal production, client relationship management, and business development, while also providing leadership oversight, regulatory compliance, and coordination between Washington Trust Bank and its third‑party broker/dealer.

The role is designed to balance sales production
, staff oversight
, and risk management to ensure the delivery of high‑quality investment services in a compliant, efficient, and client‑focused manner.

• Requires experience in the Securities Industry, preferably with a NASD Firm.
• Series 6, 7 and 24. If not currently licensed, willing to become licensed within 6 months.
• Must exhibit strong attention to detail and high degree of accuracy.
• Organization skills, ability to track and follow-up multiple projects simultaneously.
• Ability to work with aggressive, goal-oriented individuals under continual deadlines in fast paced, professional environment.
• Must be self-motivated and able to handle time-sensitive deadlines.
• Excellent written/oral communications and interpersonal skills; ability to collaborate with and work effectively with diverse groups of people across departments/divisions.
• Demonstrated proficiency with various software applications, including the Microsoft Office Suite: spreadsheets, word processing, database, email, networking and internet applications.
• Very strong decision-making and problem-solving skills.
• Clear understanding of the division and company goals, communicating and supporting them to others.
• Ability to prioritize workflow and manage multiple tasks in a self-directed, proactive manner.
• In conjunction with above related goals and service methods, Producing Investment Sales Manager should be on track for achieving gross production in sales of $ 300,000 after 3 years. There should be more than $ 30,000,000 under investment management.
• Requires a minimum of 7 years’ experience in the financial services industry with a proven track record of sales production during that period (documentation required). Above professional credentials and/or designations are desirable.

• Functions as liaison between Washington Trust Bank and other banking systems in all non-product and non-sales manager functions.
• Provides answers to questions posed by various Departments within the bank including audit, accounting and management.
• Monitors reports from the third-party broker/dealer for accuracy, resolving problems as they arise and recommending corrective action. Escalates to the Program Manager or other person designated by the WM&AS Department Director for most complex issues.
• Responsible for processing and assuring accuracy of general ledger accounts and other Bank accounts assuring department stays “in balance” by resolving discrepancies as they arise. Documents resolution for audit trail. Recommends corrective action and communicates resolution with the Program Manager or other person designated by WM&AS Department Director when appropriate.
• Establishes written procedures for Department to ensure a productive, cohesive relationship between WTB and business partners. As issues arise and resolutions are found, maintains documentation for future reference. Coordinates with accounting, internal audit and other departments to assure procedures meet their requirements.
• Assures that compliance with securities regulations and sound banking practices are followed. Alert the Program Manager or other person designated by WM&AS Department Director of any deviations from these regulations.
• Resolves purchases and sales related problems independently including communicating with Investment Officer and third-party broker/dealer to discover error and follows-up to ensure resolution, documenting resolution. Communicates resolution with Program Manager or other person designated by WM&AS Department Director when…