Wealth Management Sales Assistant

What The Role Is

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.

How You will Make an Impact

• 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.

Who You Are

• 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.