Under general supervision, uses specialized knowledge and skills obtained through experience and/or formal training to provide pro-active support to financial advisors. Established procedures and prescribed guidelines are provided to perform a variety of tasks requiring minimal evaluation, originality or ingenuity in making routine decisions. Contribute to the increased generation of commission and fee revenue by maintaining and enhancing client relationships while assisting Financial Advisors with efficient, quality client service. Extensive contact with internal and external customers to identify, research, and resolve problems.
Essential Duties and Responsibilities:
Interacts daily on the phone and in person with prospective and existing clients including handling basic inquiries and providing quotes.
May solicit orders from clients at the direction of the Financial Advisor.
Receives unsolicited orders from clients.
May enter unsolicited trades at the direction of the Financial Advisor.
Researches client and security information through the back office system.
Opens new accounts.
Processes and follows up on client documentation for proper maintenance of accounts.
Prepares letters, forms, and spreadsheets to assist with servicing existing clients and prospecting for new clients.
Creates and maintains records and files.
Ensures required client paperwork is current with firm and industry requirements, rules and regulations.
Maintains client information and creates reports using portfolio software programs.
Assists Financial Advisors with marketing efforts including seminars, mail outs, etc.
Receives and processes securities.
Participates in and receives cross-training, as well as assists with other operational functions as required.
Performs other duties and responsibilities as assigned.
Companys working structure, policies, mission, and strategies.
General office practices, procedures, and methods.
Investment concepts, practices and procedures used in the securities industry.
Financial markets and products.
Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.
Analyzing to be able to research account information.
Organize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.
Handle stressful situations and provide a high level of customer service in a calm and professional manner.
Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels.
Use mathematics sufficient to process account and transaction information.
Provide a high level of customer service.
Educational/Previous Experience Requirements:
Associates degree and five (5) years of licensed financial services industry service experience.
An equivalent combination of experience, education, and/or training as approved by Human Resources.
SIE required provided that an exemption or grandfathering cannot be applied.
Series 7 required.
Series 63, 65 and/or 66 as required by state.
Ability to obtain additional securities and advisory state registrations if required by state.