Investment Services Sales Assistant

Investment Services Sales Assistant

At Regions, the Investment Services Sales Assistant provides general administrative support to Financial Advisors (FAs) to help advisors focus on growing and retaining client relationships.

Primary Responsibilities

• Facilitates daily transactional support for the Financial Advisor, including processing money movements, trade requests, and other client service transactions related to the investment relationship
• Maintains accurate and up-to-date client records within CRM systems
• Responds to advisor and client inquiries within authorized limits, providing information, addressing general requests, and coordinating required documentation with the broker-dealer and affiliated carriers
• Supports client onboarding activities and assists in the monitoring of first-line risk and compliance requirements
• Contributes to sales and relationship-management efforts by scheduling appointments, conducting follow-up calls, and preparing or maintaining client-facing marketing materials
• Collaborates with the advisor and internal operational teams to ensure timely fulfillment of client needs and to support both business development and client retention initiatives
• Supports FAs with miscellaneous administrative tasks as assigned
• Complies with internal policies and regulatory requirements

This position requires the tracking of time and is eligible for overtime for hours worked in excess of 40 per week under the Fair Labor Standards Act.

Requirements

• High School Diploma or GED
• Six (6) months of sales or client service support or closely related experience

Preferences

• Life Insurance License
• Financial Industry Regulatory Authority (FINRA) registrations including the Series 6, 7, 63, 65, or 66

Skills and Competencies

• Demonstrated collaboration and relationship-building capabilities
• Proficient in Microsoft Office applications (Excel, Word, PowerPoint, etc.)
• Proficient record-keeping skills, including effective use of Client Relationship Management (CRM) Platforms
• Proven customer-service orientation with a focus on client satisfaction
• Strong analytical and problem-solving skills with keen attention to detail
• Strong collaboration and relationship building skills
• Strong time management and organizational skills
• Strong verbal and written communication skills

This position may be filled at a higher level depending on the candidate's qualifications and relevant experience.

Regions will not sponsor applicants for work visas for this position. Applicants for this position must be currently authorized to work in the United States on a full-time basis.

Position Type: Full time

Compensation Details

Pay ranges are job specific and are provided as a point-of-market reference for compensation decisions. Other factors which directly impact pay for individual associates include: experience, skills, knowledge, contribution, job location and, most importantly, performance in the job role. As these factors vary by individuals, pay will also vary among individual associates within the same job.

Job Range Target:

Minimum: $43,500.00 USD

Median: $52,540.00 USD

Incentive Pay Plans: This job is not incentive eligible.

Benefits Information

• Paid Vacation/Sick Time
• 401K with Company Match
• Medical, Dental and Vision Benefits
• Disability Benefits
• Health Savings Account
• Flexible Spending Account
• Life Insurance
• Parental Leave
• Employee Assistance Program
• Associate Volunteer Program

Please note, benefits and plans may be changed, amended, or terminated with respect to all or any class of associate at any time.

Location Details

Riverchase Complex North Building

Location: Hoover, Alabama

Equal Opportunity Employer/including Disabled/Veterans