Job ID: 49588
Location: Franklin, Tennessee
Employment Type: Direct Hire
Last Updated: 22 days ago
JOB DUTIES AND RESPONSIBILITIES:
• Interacts daily on the phone and in person with prospective and existing clients including handling basic inquiries and providing quotes.
• Enters and receives orders for the Financial Advisor.
• May service less active accounts (optional)
• 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.
• Assists Financial Advisors with marketing efforts for seminars and compliance approval for advertising literature.
• Responsible for client meeting preparation (forms, reports, presentations, etc.)
• Supervise and train additional client services staff.
• Receives cross-training and assists with other operational functions as required.
• Performs other duties and responsibilities as assigned.
MINIMUM REQUIREMENTS:
• Bachelor’s Degree in Finance or related field
• 5 years of prior industry experience as a registered associate in sales and support
• Series 7, Series 65/66 registered and/or professional CFP Designation
ESSENTIAL MENTAL FUNCTIONS:
• Experience in related technology, software planning tools and presentations.
• Extensive analytical and problem solving ability
• Knowledge of investment concepts, practices, products, financial markets and procedures used in the securities industry.
• General office practices, procedures, and methods
• MS Excel, Word, Outlook, and Power Point proficiency
