Investment Sales Associate

The Investment Sales Assistant, 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, Responsibilities & Expectations:

• Exhibit a sense of urgency to provide the finest of customer service at all times and in all forms of verbal and written communications.
• Interacts daily on the phone and in person with prospective and existing clients including handling basic inquiries.
• Receives orders for the Financial Advisor
• Research 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.
• Maintain databases and create reports using portfolio software programs.
• Assists Financial Advisors with marketing efforts including seminars.
• Receives and processes securities
• Receives cross-training and assists with other operational functions as required.
• Perform all other tasks requested as they relate to the Bank and its functions.

Education / Experience/Licenses/Certifications:

• College degree in business field preferred with training courses related to the financial services industry highly desirable.
• Minimum 2 years securities industry or related work experience required!