Under general supervision, uses advanced skills gained through
training and experience to assist financial advisors and provide
clients with quality 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. Routine contact
with internal and external customers is required to obtain, clarify
or provide facts and information.
Essential Duties and Responsibilities:
• Interacts daily on the phone and in person with prospective and
existing clients including handling basic inquiries.
• Researches client and security information through the back
• 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.
• Maintains databases and creates reports using portfolio software
• Assists Financial Advisors with marketing efforts including
• May enter orders at the direction of the Financial Advisor.
• Receives and processes securities.
• Receives cross-training and assists with other operational
functions as required.
• Performs other duties and responsibilities as assigned.
Knowledge, Skills, and Abilities:
• Company?s working structure, policies, mission, and
• General office practices, procedures, and methods.
• Investment concepts, practices and procedures used in the
• Financial markets and products.
• Operating standard office equipment and using required software
applications to produce correspondence, reports, electronic
communication, spreadsheets, and databases.
• Analyzing to be able to research account information.
• Organize, manage, and track multiple detailed tasks and
assignments with frequently changing priorities and deadlines in a
fast-paced work environment.
• Use appropriate interpersonal styles and communicate effectively,
both orally and in writing, with all organizational levels.
• Use mathematics sufficient to process account and transaction
• Work independently.
• Provide a high level of customer service.