Securities Sales Assistant
The Securities Sales Assistant (SA) 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.
Successful incumbents are customer focused, able to work independently, have exceptional teamwork, planning and organizational skills, are creative and innovative as well as effective communicators and strong attention to detail and the ability to problem solve and multitask. Primary 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.).
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