Financial Investment Sales Associate
A well established banking and financial firm is seeking a Financial Investment Sales Associate to join their team! The Investment sales associate will use advanced skills gained through training and experience to provide pro-active support to financial advisors and assist with efficient, quality client service. He or she will follow established procedures to perform routine tasks; receive general guidance and direction to perform other work with substantial variety and complexity requiring limited decision making responsibility; have extensive contact with internal and external clients helping to resolve most questions and problems while referring 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
- 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.
- Ensures required client paperwork is current with firm and industry requirements, rules and regulations.
- Maintains databases and creates 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:
- High school diploma or general education degree required; college degree in business field preferred with training courses related to the financial services industry highly desirable.
- At least one year of securities industry or related work experience preferred
- Currently holds Series 7, 63, or 66, or the equivalent combination of education, training, and experience.
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