Great opportunity to join a professional wealth management company in an administrative capacity.
Essential Duties and Responsibilities
- Interacts daily on the phone and in person with prospective and existing clients including handling basic inquiries.
- Schedules and coordinates meetings, events, and appointments for advisor.
- Researches client and security information through the back office system.
- Processes and follows up on client documentation for proper maintenance of accounts.
- Prepares letters, forms, and spreadsheets to assist with servicing existing clients and prospecting for new clients.
- Creates and maintains records and files.
- Ensures required client paperwork is current with firm and industry requirements, rules and regulations.
- Maintains databases and creates reports using portfolio software programs.
- Transcribes and prepares correspondence.
- Assists Financial Advisors with marketing efforts including seminars, compliance approval for advertising literature
- Receives cross-training and assists with other operational functions as required.
- Ensures required client paperwork is current with firm and industry requirements, rules and regulations.
- Knowledge and ability to input mutual fund trades into the RJ system.
- Regular and timely attendance is required.
- Performs other duties and responsibilities as assigned
Requirements.
- Knowledge of investment concepts, practices, products, financial markets and procedures used in the securities industry.
- MS Excel, Word, Outlook and Power Point proficiency to produce professional documents.
- Operation of standard office equipment.
- Uphold a professional image with external and internal business contacts.
- Work ethically and with integrity, including maintaining client and firm confidentiality.
