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Under general supervision, uses advanced skills gained through training and experience to provide pro-active support to financial advisors and assist with efficient, quality client service. Follows established procedures to perform routine tasks and receives general guidance and direction to perform other work with substantial variety and complexity requiring limited decision making responsibility. Extensive contact with internal and external clients to resolve most questions and problems and refers new or unusual issues to a higher level.
Essential Duties and Responsibilities:
• Interacts daily on the phone and in person with prospective and existing clients including handling basic inquiries and providing quotes.
• Solicits and receives orders for the Financial Advisor.
• May enter unsolicited trades at the direction of the Financial Advisor.
• May service less active accounts.
• 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.
• Participates in and receives cross-training, as well as assists with other operational functions as required.
• Performs other duties and responsibilities as assigned.
• Company’s 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.
• Work independently.
• Provide a high level of customer service.
Educational/Previous Experience Requirements:
• High School Diploma or equivalent and minimum of two years financial services industry 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.
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