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Under direct supervision, uses intermediate skills obtained through experience and training to assist Financial Advisors and provide clients with quality service. Follows established procedures to perform routine tasks and receives general guidance and direction to perform a variety of non-routine tasks with limited decision making responsibility. Routine contact with internal and external customers is required to obtain, clarify or provide facts and information.
Essential Duties and Responsibilities:
• Interacts daily on the phone and in person with prospective and existing clients including handling basic inquiries.
• Researches client and security information through the back office system.
• 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 databases and creates reports using portfolio software programs.
• Assists Financial Advisors with marketing efforts including seminars, etc.
• Receives and processes securities.
• Receives cross-training and assists with other operational functions as required.
• Performs other duties and responsibilities as assigned.
Qualifications:
• Company’s working structure, policies, mission, and strategies.
• General office practices, procedures, and methods.
• 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.
• 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.
• Work independently.
• Provide a high level of customer service.
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