1 Investment Services Assistant, Non-Licensed Job in Houma, LA

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Investment Services Assistant, Non-Licensed

Synergy Bank

Houma, LA | Full Time

$76k-104k (estimate)

5 Months Ago

Investment Services Assistant, Non-Licensed

Synergy Bank Houma, LA

$76k-104k (estimate)

Full Time | Banking 5 Months Ago

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Synergy Bank is Hiring an Investment Services Assistant, Non-Licensed Near Houma, LA

LOCATION: 210 SYNERGY CENTER BLVD, HOUMA, LA 70360

SCHEDULE: 40 HOURS (MONDAY - FRIDAY, 8 AM - 5 PM)

DEPARTMENT: Investment Services

SUPERVISOR: LPL Investment Program Manager

POSITION SUMMARY: Supports all administrative efforts under the direction of the investment program manager for new/existing clients. This position may provide the experienced candidate with the opportunity for a career path to securities licensing in the future.

POSITION RESPONSIBILITIES:

PRIMARY Job Functions:

Opening client investment accounts, initiate and follow-up incoming account transfers, receipt of and movement of funds, rollovers, trustee-trustee transfers, investment exchanges, networking business, processing death and beneficiary claims, resolve NIGO,
Client data input and maintenance: Updating client identification/address changes; beneficiary information, advisor provided suitability information, powers of attorney, etc. Verifying all data entries after submitting to on and off platform accounts and investment product providers.
Money movement via journals, ACH, 3rd party checks, on-demand requests, periodic distributions, scheduled payouts, dividends, adequacy of funds to meet said scheduled payments and follow up the timely receipt to recipient’s designated bank account.
Clerical duties: Scheduling appointments, maintaining calendar for client reviews, researching account errors, general correspondence, maintaining compliance required files, client birthday cards and any other special assignment received.
Submitting all materials that require compliance approval, literature and marketing, prospectus receipt files, etc.
Coordinating client banking needs with internal bank partners to provide a “private banking” experience to, high-net-worth, bank director and “advisory” clientele at the Synergy Bank standard of excellent of customer service.
Adherence to highest standards of confidentiality, ethics, and honesty with sensitive client information.
Interact with broker-dealer home office service departments for problem resolution, solutions, etc.
Maintenance, I-doc and retention of all regulatory files, books, and records

SECONDARY Job Functions: Assists with Bank IRA customer Required Minimum Distribution “RMD” responsibilities:

Annually – January: update list of bank IRA customers; those in “RMD” status, those attaining RMD age in the new calendar year, and existing / new customer “Inherited IRA” accounts.
Ongoing - Maintain spreadsheet of changes to RMD customer list , notification of new RMD aged customer IRA accounts opened, trustee-transfers received, IRA CD maturity renewals, customer distributions preferences, tax withholding, etc.
Ongoing /periodically – proactively follow up the completion of branch-initiated distributions as notified by branch personnel, for titling and coding accuracy.

REQUIRED QUALIFICATIONS:

Working knowledge of investment products including mutual funds, stocks, bonds, and servicing retirement accounts.
Ability to quickly learn the broker-dealer operating system
Strong verbal and written communication skills
Strong organization skills and math skills
Ability to pay close attention to details
Ability to work independently
Ability to practice sound judgement to provide regular follow-up and feedback and improve efficiencies.
Ability to establish and maintain interpersonal relationships with co-workers, customers, and peers
Proficient in Microsoft Word
Basic experience with Microsoft Excel and Outlook

EDUCATION AND EXPERIENCE REQUIRED:

High School graduate
Business experience as an investment assistant or in banking customer service, new accounts, loan assistant, or insurance

EDUCATION EXPERIENCE PREFERRED:

A degree OR courses completed toward a major in finance, business, or accounting
3 – 5 Years experience in the required field

COMMUNICATION: Must be able to provide information to supervisors, co-workers, and customers both verbally and in written format.

PHYSICAL REQUIREMENTS:

Must be able to work at a desk with a desktop computer and look at a monitor for up to 4 hours at a time.
Must be able to interact with the public utilizing various methods of communication.

MENTAL REQUIREMENTS:

Must have the attention span to stay alert and attentive during a normal 8-hour workday.
Must be able to follow instructions and procedures exactly as trained or as directed by his or her supervisor.
Must be able to listen to, grasp, and respond positively to supervision and instructions by Management.
Physical and cognitive ability to perform the essential duties and functions of his/her job.
Ability to safeguard and maintain confidential information as directed by Federal law and Company policy.

EQUAL OPPORTUNITY EMPLOYER / DISABLED / VETERANS