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 include the following. Other duties may be assigned.
Answers incoming calls, handling requests or directing to appropriate parties.
Maintains and establishes all customer files.
Opens accounts (as licensing permits) in advisor's absence. Presents limited products and writes business under supervision of the advisor.
Reviews all applications for completeness before submission. Processes and tracks all written business. Sends required documents, updates, and other correspondence to clients.
Processes and monitors all account transfers.
Handles customer inquiries. Manages client requests for distributions on accounts, or service issues as needed.
Prospects clients by letter or phone on behalf of the advisor.
Participates in seminars, branch training and community events in support of Securities
Handles outbound calls to existing clients, prospects, and referrals to schedule appointments. Ability to overcome objections when seeking an appointment.
Technical Skills
Proficiency in Microsoft operating systems including Word, Outlook and Exel
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.
