Registered Assistant

JOB SUMMARY

Provides administrative assistance and support to Lone Star National Bank Financial Consultants, and assists clients with the opening of new accounts, general inquiries and customer service.

ESSENTIAL DUTIES

The duties listed below may not include all responsibilities that the person in this role may be asked to perform. Incumbent may be required to perform other related duties, as assigned, including cross training across other departments, as necessary.

•    Provides administrative assistance and support to Lone Star National Bank Financial Consultants
•    Assists clients as necessary with the opening of new accounts, general inquiries and customer service
•    Facilitates customer requested trades and portfolio changes as needed
•    Prepares, copies and distributes departmental reports and correspondence
•    Maintains client files and computerized customer database
•    Performs CRM activities including soliciting and prospecting new clients
•    Prepares and distributes sales analytics and associated reports
•    Answers department telephone calls and maintains functional knowledge of phone system
•    Resolves and monitors documentation and compliance exceptions
•    Coordinates department meetings, appointment schedules and travel arrangements
•    Participates in job specific training and other various Bank training programs, as necessary 
•    Maintains current knowledge of internal risk controls and loss prevention, including reporting of suspicious or unusual customer activity per Bank policy
•    Maintains current knowledge and complies with all federal and state laws and regulations and all established Bank policies and procedures, including internal audit controls related to department operations
•    Maintains current knowledge of all rules, regulations, and laws as they apply to BSA/OFAC/USA Patriot Act/CIP/AML
 

ESSENTIAL DUTIES

The duties listed below may not include all responsibilities that the person in this role may be asked to perform. Incumbent may be required to perform other related duties, as assigned, including cross training across other departments, as necessary.

•    Provides administrative assistance and support to Lone Star National Bank Financial Consultants
•    Assists clients as necessary with the opening of new accounts, general inquiries and customer service
•    Facilitates customer requested trades and portfolio changes as needed
•    Prepares, copies and distributes departmental reports and correspondence
•    Maintains client files and computerized customer database
•    Performs CRM activities including soliciting and prospecting new clients
•    Prepares and distributes sales analytics and associated reports
•    Answers department telephone calls and maintains functional knowledge of phone system
•    Resolves and monitors documentation and compliance exceptions
•    Coordinates department meetings, appointment schedules and travel arrangements
•    Participates in job specific training and other various Bank training programs, as necessary 
•    Maintains current knowledge of internal risk controls and loss prevention, including reporting of suspicious or unusual customer activity per Bank policy
•    Maintains current knowledge and complies with all federal and state laws and regulations and all established Bank policies and procedures, including internal audit controls related to department operations
•    Maintains current knowledge of all rules, regulations, and laws as they apply to BSA/OFAC/USA Patriot Act/CIP/AML

QUALIFICATIONS

These specifications are general guidelines based on the minimum experience normally considered essential to the satisfactory performance of this position. The requirements listed below are representative of the knowledge, skill and/or ability required to perform the position in a satisfactory manner. Individual abilities may result in some deviation from these guidelines.

•    High School Diploma or G.E.D. (Bachelor’s degree in Finance or a related field is preferred)
•    At least twelve months of similar or related experience
•    Series 6 or Series 7 license and a Series 63 license (must maintain licenses in good standing once obtained)
•    Hard working team player with a positive and professional attitude and ability to work with minimal supervision
•    Bilingual skills in English and Spanish
•    Skills should include typing 45 wpm and 10 key calculator and telephone
•    Proficiency with Microsoft Word, PowerPoint and Excel
•    Excellent organizational, interpersonal, communication and customer relation skills
•    Visual and mental concentration are necessary for accurately performing tasks, working at computer for long periods of time, working in a fast paced environment and handling frequent interruptions

ORGANIZATION

•    This position reports to the Investment Brokerage Manager
•    This position does not oversee other positions

TRAINING REQUIREMENTS

All employees are required to attend scheduled mandatory trainings and complete online regulatory compliance training courses applicable to their specific job function. In all situations, employees must ensure that their actions fully comply with all federal banking laws and regulations, including internal bank policies and procedures. Failure to adhere to these requirements will be grounds for disciplinary action, including probation and possible termination.

COMMUNITY INVOLVEMENT

Lone Star National Bank’s Mission Statement includes a commitment to helping our communities grow by serving them with pride and integrity.  All employees are encouraged to volunteer for bank sponsored activities, civic, charitable and community events and to be active in the communities we serve.

LSNB is an Equal Opportunity/Affirmative Action Employer and does not discriminate in the recruitment, hiring, and conditions of employment on the basis of race, color, religion, national origin, sex (including pregnancy), sexual orientation, gender identity, marital status, disability, age, veteran status, or any other status as protected by applicable laws.

Management reserves the right to change this position description at any time according to business needs.