Job description

SUMMARY:
The Licensed Sales Assistant is responsible for providing support services for assigned Advisor(s) in defined territory(ies). Duties include administrative tasks, business processing, executing trades for clients within scope of their authority, customer service interaction, client prospecting, and appointment scheduling for the advisor. The Licensed Assistant's role is essential to maintaining and expanding the advisor's business.

ESSENTIAL DUTIES AND RESPONSIBILITIES:

• Answer incoming calls, handling requests or directing to appropriate parties.
• Maintain and establish all customer files.
• Open accounts (as licensing permits) in advisor’s absence. Present limited products and write business under supervision of the advisor.
• Review all applications for completeness before submission. Process and track all written business. Send required documents, updates, and other correspondence to clients.
• Process and monitor all account transfers
• Handle customer inquiries. Manage client requests for distributions on accounts, or service issues as needed.
• Prospect clients by letter or phone on behalf of the advisor.
• Participate in seminars, branch training and community events in support of Securities.
• Outbound calls to existing clients, prospects, and referrals to schedule appointments. Ability to overcome objections when seeking an appointment.

Qualifications

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.

Education and/or Experience

• High School Diploma or GED
• Associate or Bachelor Degree preferred.
• 1 - 2 years in financial industry preferred.
• Scheduling and/or sales experience desired.

Computer Skills

• Proficiency in Microsoft operating systems including Word, Outlook and Excel.

Certificates, Licenses, Registrations

• Insurance license - Life & Health required.
• The FINRA SIE, Series 6 and 63 must be obtained. FINRA Series 7 and 65 are preferred.
• Must obtain each license within 90 days with maximum completion time of one year from date of hire. First license must be obtained within 90 days of hire with all other licensing to follow in 90 day intervals.

Other Skills and Abilities

• Understanding of core investment products, including mutual funds and fixed and variable annuities.
• Must have fundamental understanding of bank services and operations.
• Ability to interact professionally with representatives of the bank and other line of business representatives.
• Must possess strong work ethic, problem solving skills, ability to multi-task.
• Ability to maintain attention to detail.
• Possess positive attitude to support, protect, schedule and manage the advisor’s time is crucial in this position.
• Ability to assist training Licensed Bankers.
• Ability to meet with clients as needed.

Physical Demands

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. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

Work Environment

The work environment characteristics described here are representative of those an employee encounters while performing the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

Equal Opportunity Employer Minorities/Women/Protected Veterans/Disabled

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