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Essential Responsibilities:
- Possess a thorough understanding of the retirement plans industry, including strong knowledge of 401(k) plan rules, ERISA regulations, and IRS guidelines
- Have a thorough understanding of investment products and services
- Provide enrollment, transition, education, quarterly and annual meetings with plan sponsors, and their employees
- Develop and maintain relationships with plan sponsors, 401(K) providers, third party administrators and financial advisors: maintaining regular communication with each
- Assist with the development of Investment Policy Statements, Investment Review Checklists and ERISA 404(c) Checklists
- Adhere to all compliance standards as required by broker-dealer
- Create and maintain records and files
- Maintain databases and create reports using portfolio software programs
- Assist financial advisors with marketing efforts including seminars, etc.
- Train other service associates when needed
- Crosstrain on other operational functions and performs back-up in these areas as needed
- Process and follow-up on client documentation for proper maintenance of accounts
- Responsible for entering plan activity in the RJ CRM system
- Adheres to applicable federal laws, rules, and regulations including those related to Anti-Money Laundering (AML) and the Bank Secrecy Act (BSA).
- Other duties as assigned.
Minimum Required Skills & Competencies:
- Series SIE/7, and 66 (or equivalent), Life Insurance license, or ability to obtain within six months of hire
- Previous experience providing retirement plan consulting in either a brokerage firm, the investment division of a financial institution or an investment advisory practice
- Strong educational background or equivalent professional experience conducive to providing advice and analyzing investment portfolios
- General computer skills to include competence in Windows and MS Outlook
- High School graduate or equivalent
- Regular attendance is required
- 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.)
Desired Skills & Competencies:
- Clean compliance record, such as on http://brokercheck.finra.org/
- Complete competence in Microsoft Word, Excel, Outlook
- At least 5 years securities/retirement plan industry or related work experience preferred
- Recognized professional retirement plan designation such as Chartered Retirement Plan Specialist (CRPS), Accredited Investment Fiduciary (AIF®) or Certified Employee Benefit Specialist (CEBS)
Physical Requirements:
- Express or exchange ideas by means of the spoken word via email and verbally.
- Exert up to 10 pounds of force occasionally, use your arms and legs, and sit most of the time.
- Have close visual acuity to perform activities such as analyzing data, viewing a computer terminal, reading, and preparing documentation.
- Not substantially exposed to adverse environmental conditions.
- The physical demands described here are representative of those that must be met by an employee to successfully perform the essential responsibilities of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform essential responsibilities.
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