Sales Assistant-Financial Services

Job Description SummarySupports Financial advisors and their prospective and existing clients, and other branch staff team members. Demonstrates effective communication skills across multiple platforms (phone, email, in-person, virtual), as well as the ability to organize, manage, and track multiple, detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced, task-oriented work environment.ResponsibilitiesServes as the first point of contact to service a high volume of daily interactions, including basic inquiries, providing quotes, and scheduling meetings with prospective and existing clients on the phone, in-person, virtually, and through mailings.Works both independently and within a dynamic team environment to provide crucial support to the financial advisors and branch office.Onboards new clients, opens new client accounts and researches client and security information using internal databases and other technologies.Ensures key client information and documentation are current with firm and industry requirements, rules, and regulations.Processes and monitors the transfer of assets to ensure all assets and cost basis are successfully received.Monitors available cash awaiting investment, including running weekly cash and cash equivalent reports and contacting clients with investment opportunities to maximize returns.Reviews, assesses, and responds to all corporate action items and client account alerts.Prepares financial reports, spreadsheets, and other materials for client meetings.Inputs orders and rebalances portfolios on behalf of the Financial Advisors.Creates and maintains records and files utilizing Client Relationship Management (CRM) software.Assists Financial Advisors with marketing efforts, including seminars and other client-facing events.Actively engages in available training/cross-training and educational and/or professional development opportunities to remain current on firm and industry policies and procedures.Performs other duties and responsibilities as assigned.SkillsCompany’s working structure, policies, mission, and strategies.Managed account platforms.General office practices, procedures, and methods.Investment concepts, practices and procedures used in the securities industry.Financial markets, products and industry regulations.Trading terminology.Client Relationship Management (CRM) software, or similar contact management software.Goal planning software.Excel, including developing spreadsheets as needed and for ongoing reporting.Effective communication across multiple client interactive platforms (in-person, virtual, phone and mail)Operate standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.Analyze and research account information.Organize, manage, and track multiple, detailed tasks and assignments with. frequently changing priorities and deadlines in a fast-paced, task-oriented work environment.Identify time-sensitive items and assess competing priorities.Take initiative and proactively follow up on submitted items to ensure completion; resolve errors, questions or concerns.Handle stressful situations and provide a high level of customer service in a calm and professional manner.Analyze problems and establish solutions in a fast-paced environment.Use mathematics sufficient to process account and transaction information.Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels, in person and virtually.Work both independently and as part of a cohesive team.Provide a high level of customer service.Education/Previous ExperienceHigh School Diploma or equivalent and one (1) or more years securities industry or related work experience preferred, or an equivalent combination of experience, education, and/or training as approved by Human Resources.Licenses/CertificationsSIE required provided that an exemption or grandfathering cannot be applied.Series 7 required.Series 63, 65 and/or 66 as required by state.Certificationss66 - Uniform Combined State Law Examination - Financial Industry Regulatory Authority (FINRA), s7 - General Securities Representative Examination - Financial Industry Regulatory Authority (FINRA), Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)