European Institute of Management and Finance | Sales Techniques for Investment Professionals
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Sales Techniques for Investment Professionals

Sales Techniques for Investment Professionals


This programme introduces the fundamental concepts in financial sector sales methodologies and techniques, which comply with the European regulated financial sector framework. An effective salesperson must understand and follow various aspects of sales techniques which are in line with the requirements of the law, including being fair, honest, transparent and non-misleading to clients. In addition, the programme examines, in-depth, the acceptable and non-acceptable interactions between sales agents and their clients.


Participants will develop a self-understanding as to the allowed sales techniques and will explore ways to implement the current legislation’s values. The programme will show students how to be “sales-oriented” while at the same time demonstrate good and bad practices which sales agents should follow and/or avoid. Special consideration will be given to the challenges associated with conflicts of interests, and the implementation of methodologies that ensure clients understand both the benefits of a proposition, as well as the risks associated with it.  Based on rich and accumulated experience and starting from the assumption that the rules and guidelines are rather vague, the programme will explain how to develop a successful sales pitch that complies with law requirements, while at the same time is fair to clients.


Furthermore, the programme will include a unique motivational/self-empowerment component that aims to provide participants with proven methods that will boost their sales successes and bottom-line results. This will offer participants many invaluable tools which will help them develop the right attitude to becoming great salespersons, including goal setting and influencing skills. Participants will also learn about various motivational models, and how to bring them together in order to generate a boundless and effective target-oriented mind-set.


By the end of the programme all participants will be able to:

  • Identify possible conflicts of interest
  • Formulate alternative solutions to such conflicts by employing key compliance indicators
  • Develop a sales pitch that takes into consideration the requirements of the law, while still communicating an appealing proposition to clients
  • Employ powerful methods to boost the sales results and integrity



Training Objectives


Knowledge or Skills Acquisition

The Students shall acquire knowledge about the sales methodologies that are in line with the law and regulations and will be able to structure and follow a compliant pitch. They will further acquire insight into various compliance aspects surrounding the client solicitation domain and on how to identify and handle conflicts of interest.


Personal &Professional

The programme will enable participants to cultivate skills such as:

  • self-confidence in a compliant sales pitch environment,
  • a target-oriented attitude,
  • interpersonal skills,
  • working effectively with clients,
  • professional email & telephone etiquette,
  • compliance skills related to sales,
  • time management & organization,
  • decision making, etc.


Career Knowledge

The students will gain new information regarding the sales and/or retention job duties and how to perfect them. They will acquire in-depth information as to the financial sector industry and the importance in following the law, and on how to hold the balance between an attractive proposition and being fair/honest and non-misleading.



The Programme will provide mental and self-empowerment skills and tool which help to understand how the salesperson and the client are thinking, and to further provide effective tools to improve the sales communications and sales results.



Training Outline


Focused Sales Methodologies

  • Sales Definition
  • Characteristics/psychology of the Sales agents
  • Psychology of potential / existing clients
  • KYC -> (Get to) Know Your Clients
  • Presenting the product relating to the clients’ needs
  • Resistances/Conflicts
  • Identifying resistances
  • Overcoming resistances
  • Closing Sales
  • Sales technique Improvement
  • Call examples


Sales Communication Techniques

  • Attention
  • Respond vs. React
  • Active listening
  • Body language essentials
  • Tonality
  • Empathy vs. Apathy
  • “Reading between the lines”
  • Leading the communication with the client
  • Honesty as a virtue
  • Persistence and proper reading of the client’s feedback
  • Don’t make assumptions
  • Call examples


Compliance aspects related to Sales

  • Learn the difference: Investment advice vs. general recommendation
  • Stop reading and start interpreting
  • Sell to yourself first
  • When in doubt, use common sense
  • Background sound matters
  • Tonality and approach
  • Communication channels and big brother
  • Importance of policies and procedures
  • Key Circulars/Guidelines and how it affects the sales approach
  • The Script
  • Choose your battles
  • Call examples


Self-Empowerment Chapter – Making The Difference

  • Your WH questions
  • The Law of Compensation
  • How your Mind works
  • The 6 basic concepts
  • Thinking into results
  • How to develop a goal
  • The 11 Forgotten Laws
  • You mission in commission
  • Examples



Training Style


A variety of learning activities and instructional strategies will be used to communicate the basic concepts.


Through an interactive approach participant will be involved and will be required to contribute their thoughts and ideas.  The learning will incorporate a mix of activities and use PowerPoint Presentation, handouts, music, videos, whiteboard, audio and visual simulations.  Hence, during the programme the following learning activities and instructional strategies will be employed:

  • Short Lectures
  • Case Studies
  • Interactive Discussions and group work
  • Simulations
  • Presentations
  • Discussion board
  • Think-pair-share
  • Demonstrations
  • “Interventions”
  • Written Assessments



CPD Recognition


This programme may be approved for up to 10 CPD units in Financial Regulation. Eligibility criteria and CPD Units are verified directly by your association, regulator or other bodies which you hold membership.


Professionals requiring CPD units to meet the education requirements for CySEC licence renewal, and/or for maintaining other professional memberships/certifications which accept CPD in Financial Regulation, are advised to consider training subjects in categories that indicate CPD training in Financial Regulation.



Who Should Attend


The programme is ideal for:

  • Salespersons in the financial sector
  • Client’s Retention personnel
  • Compliance Officers
  • Employees in the financial sector
  • External Auditors, Lawyers and Financial Consultants
  • Company Directors
  • Financial sector functionaries
  • Any professional within the financial sector that requires to learn or refresh sales techniques to better serve their organisations and clients