Assist Financial Advisors who have achieved Managing Director, Senior Managing Director standing or above in productively assisting clients withinvestment products, estate planning, estatedistribution and similar activities.Responsible for management of Financial Advisors’schedules, contact management and order flow. Contribute to the overall firm profitability while meeting the needs of the client.
Essential Duties and Responsibilities:
The following is a summary of the essential functions for this job. Other duties may be performed, both major and minor, which are not mentioned below. Specific activities may change from time to time.
1. Recognize and meet the complex needs of high net worth clientele by assisting with financial planning, estate planning, gifts and estate distribution.
2. May be expected to facilitate appropriate order flow in some trading situations.
3. Assist in opening new accounts for clients, ensuring that the clients’ needs are met while regulations are followed.
4. May facilitate the appropriate receipt of checks or securities from the client according to procedures.
5. Report errors in a timely and complete manner according to procedures.
6. Organize customer related files, correspondence, advertising and sales literature files consistent with policies and procedures.
7. Maintain appropriate reference and/or forms files based on the type of business conducted by the Financial Advisor being supported.
8. Execute data entry, extraction and reporting using systems and applications, to include Beta, Camp, ScottStringfellow.com client-accessible website, Price Metrix, S&P Marketscope Advisor, Thompson One.
9. May provide branch office operational supervision of 529 plans, annuities (1st level), check signing, general branch office items, gift log file maintenance, handwritten trade tickets, incoming checks and daily deposits, incoming correspondence, letters of authorization, new account paperwork, outgoing checks, outgoing correspondence, securities received and delivered log, syndicate file maintenance, and third party research file maintenance.
Required Skills and Competencies:
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.
1. Bachelor’s degree in business administration or equivalent education and related training
2. Five years of experience in a sales assistant role
3. Financial Industry Regulatory Authority (FINRA) Series 7, 63 or 66 and insurance license(s) if needed to support Financial Advisor
4. Excellent customer service, communications and organizational skills
5. The ability to work in a high-pressure, high transaction volume position with firm deadlines
6. Demonstrated proficiency in standard computer applications, such as Microsoft Office products
7. Ability to travel, occasionally overnight
1. FINRA Series 9, 10 licenses