Investment and Brokerage Management Assistant (full-time)
Investment and Brokerage Management Assistant (full-time)
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Salary Not Disclosed
1 Vacancy
Job Description
Investment and Brokerage Management Assistant
This Position Reports To: FVP Trust & Investment Officer
PRIMARY ACTIVITIES AND RESPONSIBILITIES:
- Provide administrative assistance clerical and client support to Wealth Management Group Officers
- Assist with creating/maintaining client presentations and reviews materials
- Assist in the preparation of new account proposals
- Assist Officers in accomplishing account documentation/retention duties/goals
- Assist with Annual Account and Investment Reviews (Reg 9 and Administrative Reviews)
- Manages routine client calls sets appointments and obtains answers to client questions
- Willing to seek selfdevelopment by participating in available training opportunities education and group/bank events
- Acts as interim representative servicing and supporting the retail investment / insurance business for the Bank
- Completes client paperwork including:
- Prepare files for new accounts
- Assure client documentation is completed and signed by customer
- Post trades to trade blotter in client files
- File client statements
- Followup on any pending documentation
- Handle any client information changes
- Recordkeeping of office activity including:
- Complete activity reports of business conducted
- Reconcile direct business to office weekly trade blotters
- Reconcile trade tickets and confirmations
- Followup on client service requests with Cetera and/or Fund Company
- Processing of daily business
- Maintain Cetera required copies of form and files
- Maintain Compliance approval log and followup as necessary
- With proper licensing:
- Recommend and execute sale of all forms of Brokerage/Investment products that meet the suitability needs of the customer.
- Assess clients investment situation history knowledge and needs
- Recommend appropriate investment products
- Contact customers to assess needs and make followup suggestions as needed
- Seek out additional potential clients through various channels
- Keep Bank management informed of the results of all regulator / broker dealer examinations and audits. Report all concerns in a timely fashion
- Attend meetings and training sponsored by broker/dealer as directed
- Research and implementation of investment strategies
- Back up Operational duties as directed by manager
- Understands and complies with Bank mission organizational structure employee handbook bank security policies and procedures standards of conduct and incentive program
- Knows where the CRA notice statement and public disclosure file is located in the Branch and who the CRA Officer is
- Other duties as needed or assigned by assigned
MINIMUM REQUIREMENTS FOR POSITION:
- Business related Degree or equivalent experience
- General knowledge of investment / financial planning industry including thorough understanding of various investment products their benefits and risks
- Financial planning and related software knowledge preferred
- Two year minimum investment and or trust dept. related experience preferred
- Proficient in using MS Office Suite products (Word Excel PowerPoint etc.) and other relevant office technology/computer applications
- Basic accounting skills
- Strong verbal and written communication skills
- Ability to understand Trust department products/services and relate to client needs
- Ability to understand Brokerage related products/services and relate to client needs
- Demonstrated track record that includes attention to detail; ability to meet deadlines; and manage & prioritize multiple tasks and projects
- Ability to maintain effective working relationships with staff
- Maintain confidentiality of client information
- Maintain high degree of professionalism including appearance
- Maintain satisfactory attendance record
Employment Type
Full-Time
