Primary Purpose:

Assists financial advisors with providing efficient, quality service to clients

Essential Responsibilities:

* Answers telephones and screens calls for financial advisors

* 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 and services less active accounts when needed

* 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

* Maintains databases and creates reports using portfolio software programs

* Assists financial advisors with marketing efforts including seminars, etc.

* Receives and processes securities

* Trains other service associates when needed

* Supervises other support staff when needed under direction of supervisor

* Cross-trains on other operational functions and performs back-up in these areas as needed

Minimum Required Skills and Competencies:

* Must project an excellent customer service attitude

* Good interpersonal skills to deal with clients, financial advisors and other staff

* Strong written and verbal communication skills sufficient to deal with financial advisors, clients and other staff

* Professional and pleasant appearance and demeanor to work with clients

* Ability to work under pressure and meet daily deadlines

* Ability to work independently

* Good organizational skills to be able to prioritize tasks

* Good analytical skills to be able to research account information

* Mathematical abilities sufficient to process account and transaction information

* Ability to operate general office equipment (copier, fax, etc.)

* Computer skills adequate for creating/maintaining databases and the ability to learn various software packages

* Series 7 required and Series 63 if required in the state

* High School graduate or equivalent

* Regular attendance is required

Desired Skills and Competencies:

* At least 5 years securities industry or related work experience preferred