ESSENTIAL FUNCTIONS AND BASIC DUTIES

· Perform administrative duties that support Financial Advisors in daily business practices, including but not limited to telephone coverage, coordination of client meetings, internal sales tracking reports, CRM data entry and maintenance, and appointment calendar maintenance.

· Oversee client interaction and participate in client meetings, manage communications through telephone and email, prepare presentations for clients, and process transactions, including cash transfers and distributions, through LPL Financial (SAFE Financial Services Broker Dealer).

· Manage all incoming branch referrals within SLA of two business days, maintaining follow-up and final close-out of referral system records on an ongoing basis.

· Conduct ongoing outreach to maintain strong relationships with client base, identifying and offering Firm services and solutions, such as digital document forms, setting up online account access, and setting up automated cash management offerings that support clients’ needs.

· Manage LPL Financial books and recordkeeping, ensuring advisors’ branches are in compliance with FINRA regulations and are audit-ready at all times.

· Maintain Salesforce CRM reporting by inputting new client information, updating current client data, entering notes on all client interactions, setting tasks and follow-up items, and keeping appointment calendars updated and accurate for all appointment entries.

· Onboard new clients, including the collection, scanning, and uploading of required account documentation, and checking all outgoing documents for accuracy.

· Manage client communications for advisors, including birthday greetings, monthly e-newsletters, and other correspondence, as assigned.

· Take measures to protect client identity and confidential client information by demonstrating strong adoption of secure client communication, authentication and adhering to the clean desk policy.

· Agree upon, and schedule, frequent check ins with assigned FA(s) to ensure a successful partnership is maintained to serve the customer’s needs and best interests. Check ins should focus on review of outstanding client issues and contact needs.

· Participate in employee branch training to raise awareness of SAFE’s department offerings and educate employees on how to spot potential prospects for investment services; help manage branch referral contests.

· Evaluate and analyze performance data or provide research for investment options under the direction of the Financial Advisor and as securities licensing registration permits.

· Provide clients with quotes and entering of orders/trade requests

· Utilize prior years of experience in the Registered Client Services role, anticipates and proactively seeks resolutions to client and business-related issues.

· Demonstrate seasoned judgement by handling complex clients with a high degree of professionalism.

· Act as the subject matter expert and sought by others for advice or guidance. Provides knowledge, best practices, guidance, and systems support to coworkers, branch personnel and training for entry level Client Services Assistants.

· Complete other duties, as assigned by Operations Manager.

QUALIFICATIONS

Education/Certification:

Bachelor's degree from a four-year college or university, and five years of brokerage sales/financial services experience and/or training; or an equivalent combination of education and experience.

Required Certifications:

• Securities License Series 6/7; and 63/65/66.
• California Life Insurance & Variable Annuity License.

Maintain appropriate Financial Industry Regulatory Authority (FINRA) licenses is required for ongoing employment in this position.

Experience Required:

To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

Skills/Abilities:

• Strong proficiency with Microsoft Office (Word, Excel, PowerPoint, Outlook, etc.).
• Ability to provide professional customer service, both on the telephone and in-person.
• Demonstrate excellence in execution by taking appropriate follow up measures to respond promptly and meet deadlines.
• Ability to effectively multitask, prioritize and perform daily tasks and assigned projects in an organized and efficient manner.
• Strong analytical skills with high attention to detail and accuracy.
• Ability to keep a professional appearance and demeanor at all times.
• Ability to problem-solve, take personal accountability for understanding and delivering timely, quality work but also know when to ask for assistance.
• Champion diversity, inclusion and belonging. Contribute to a safe, inclusive environment where differences are respected.

WORK ENVIRONMENT/PHYSICAL DEMANDS SUMMARY

LANGUAGE SKILLS

• Excellent communication skills (verbal, written, listening skills, and empathy).
• Expert ability to build relationships with other leaders, business partners, and stakeholders.
• Ability to read, analyze, and interpret general business periodicals, professional journals, technical procedures, or governmental regulations.
• Ability to write reports, business correspondence, and procedure manuals.
• Ability to effectively present information and respond to questions from groups of managers, clients, customers, and the general public.
• Attend and actively participate in regular meetings and calls. Ask questions and ensure understanding of communicated policy and procedure updates.

MATHEMATICAL SKILLS AND REASONING ABILITY

• Ability to interpret a variety of instructions furnished in written, oral, or schedule form.
• Ability to solve practical problems and deal with a variety of concrete variables in situations where only limited standardization exists.
• Ability to calculate figures and amounts such as discounts, interest, and percentages.
• Ability to apply concepts of basic algebra.

PHYSICAL DEMANDS AND WORK ENVIRONMENT

The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job.

• While performing the duties of this job, the employee is regularly required to sit and talk or hear, and use hands to finger, handle, or feel objects, tools, or controls.
• The employee is occasionally required to stand; walk; reach with hands and arms; and stoop, kneel, crouch, or crawl.
• The employee must occasionally lift and/or move up to 10 pounds.
• Specific vision abilities required by this job include close vision.
• The noise level in the work environment is usually moderate.

INTENT AND FUNCTION OF JOB DESCRIPTIONS

This is not necessarily an all-inclusive list of job-related responsibilities, duties, skills, efforts, requirements or working conditions. All descriptions have been reviewed to ensure that only essential functions and basic duties have been included. Peripheral tasks, only incidentally related to each position, have been excluded. Requirements, skills, and abilities included have been determined to be the minimal standards required to successfully perform the positions. While this is intended to be an accurate reflection of the current job, management reserves the right to revise the job or to require that other or different tasks be performed as assigned.

In accordance with the Americans with Disabilities Act, it is possible that requirements may be modified to reasonably accommodate disabled individuals. However, no accommodations will be made which may pose serious health or safety risks to the employee or others or which impose undue hardships on the organization.

Job descriptions are not intended as and do not create employment contracts. The organization maintains its status as an at-will employer. Employees can be terminated for any reason not prohibited by law.

Job Type: Full-time

Pay: $26.00 - $40.00 per hour

Benefits:

• 401(k)
• 401(k) matching
• Dental insurance
• Employee assistance program
• Health insurance
• Life insurance
• Paid time off
• Tuition reimbursement
• Vision insurance

Schedule:

• 8 hour shift
• Monday to Friday

Supplemental pay types:

• Monthly bonus

Education:

• Bachelor's (Preferred)

Experience:

• Brokerage Sales/Financial Services: 5 years (Required)

License/Certification:

• Securities License Series 6/7; and 63/65/66. (Required)
• California Life Insurance & Variable Annuity License. (Required)

Work Location: Remote

Please Note :
www.bankofmontserrat.ms is the go-to platform for job seekers looking for the best job postings from around the web. With a focus on quality, the platform guarantees that all job postings are from reliable sources and are up-to-date. It also offers a variety of tools to help users find the perfect job for them, such as searching by location and filtering by industry. Furthermore, www.bankofmontserrat.ms provides helpful resources like resume tips and career advice to give job seekers an edge in their search. With its commitment to quality and user-friendliness, Site.com is the ideal place to find your next job.