REGISTERED CLIENT SERVICE ASSOCIATE

The Securities Senior Sales Assistant (SSA) role is a position providing operational and sales support to multiple Financial Consultants (FC’s) within their individual businesses, as well as to support office initiatives. The SA role assists one or more Financial Consultants (FC) in a Retail, High Net Worth, or Institutional capacity.

POSITION QUALIFICATIONS:

• High School/GED
• Advanced college degrees may count towards experience requirement
• Series 7 and Series 63 licenses required
• Willingness and ability to obtain FINRA Series 66 or 65, and resident state appropriate insurance and annuity licenses
• 5 years of experience in customer contact
• 2 years of experience in investments/brokerage industry and securities regulations
• 2 years of experience in Microsoft Office
  WORK BEST CATEGORY:Category B - 3-4 days in office on designated days/1-2 days remote
  HOURS:8:00am - 5:00pm Monday - Friday

POSITION RESPONSIBILITIES:

• This position holds responsibilities in 4 primary categories: Sales Support, Compliance, Customer Service, and Teamwork. Some of the primary responsibilities are listed below.
• Assists with the opening and maintenance of client accounts and records.
• Ensure completion of all paperwork for clients.
• Provide accurate, timely and courteous responses to clients.
• Organize client files and set up systems to assist Financial Consultant with regular follow up.
• Research and resolve complex and sensitive client problems and questions.
• Complete understanding of policies and procedures for firm and regulatory compliance.
• Copy and retain all necessary documentation.
• Maintain accurate office logs.
• Back up other sales associates as required.
• Identify any issues regarding office procedures and escalate as appropriate.
• Participate in office or firm-wide initiatives as requested.
• Demonstrate teamwork, cooperativeness, and positivity.
• Follow appropriate approval channels for all correspondence and marketing.
• Create client correspondence/mailings as requested.
• Perform operational or administrative functions for client related requests (i.e., check request, wiring funds, address change, dividend information, etc.).
• Enter trades as licensing and firm rules allow.