Job Summary
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.
May enter orders at the direction of the Financial Advisor.
Receives and processes securities.
Receives cross-training and assists with other operational functions as required.
Performs other duties and responsibilities as assigned.
Knowledge, Skills, and Abilities
Knowledge of
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.
Ability to
Operate standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.
Analyze and 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 mathematics sufficient to process account and transaction information.
Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels.
Work independently.
Provide a high level of customer service.
Educational/Previous Experience Requirements
Education/Previous Experience
High School Diploma or equivalent and one (1) or more year’s securities industry or related work experience preferred.
OR ~
An equivalent combination of experience, education, and/or training as approved by Human Resources.
Licenses/Certifications
None required
