Wealth Management Sales Assistant Wealt004098

Sales Assistant

This Sales Assistant position is responsible for managing the existing client base to allow the Investment Reps to spend much of their time obtaining new clients. However, due to FINRA rules, Sales Assistants are not able to speak to clients about products or accept trade instructions unless they hold a Series 7 & 63/66 FINRA license.

Compose and create routine reports/correspondence as needed

Perform all clerical functions including preparation of client paperwork

Submit basic customer service requests such as deposits and check disbursements

Stay abreast of regulatory and compliance requirements

Expected to learn, understand, and continually monitor all compliance requirements of the department

Must be able to always provide the highest level of client service/support

Data entry of prospect and client information into CRM and Document Management systems

Miscellaneous communication via phone or email with custodians, clients, or prospects

Communicating with prospects, clients, and centers of influence via thank you letters, birthday, and holiday cards

Prepare proposals using proprietary software applications that require an intermediate to advanced level of knowledge

Two years college and/or five years professional experience, preferred

Bank or brokerage experience, desired

Customer service experience

Ability to work well with others in a team environment

Effective verbal and written communication skills

Excellent time management skills

Ability to use general office equipment and multi-task job functions

Highly proficient in Microsoft Office applications: Word, PowerPoint and Excel

Attention to detail

Willingness to obtain Series 7, Series 66, and state insurance licenses

Willingness to obtain the Financial Paraplanner Qualified Professional - FPQP designation

Good aptitude for research

Self-motivation, flexible, and ability to take initiative

Strong analytical ability related to problem-solving

Ensure confidentiality with respect to all information pertaining to clients

If your experience aligns with this description, please consider applying. Many skills are transferable among industries and a passion for the role and willingness to learn are important considerations.

We believe that a diverse workforce creates problem-solving and creative thinking, which is why we're dedicated to adding new perspectives to the team and encourage everyone to apply.

Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities

This employer is required to notify all applicants of their rights pursuant to federal employment laws. For further information, please review the Know Your Rights notice from the Department of Labor.

We are an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, national origin, age, sex, sexual orientation, gender identity, disability, veteran status, genetic information or any other status protected under applicable local, state or federal nondiscrimination laws.