Branch Operations Associate

JOB DESCRIPTION

Title: Branch Office Assistant

Function: To assist the Financial Advisors (FA) with varied administrative duties necessary for securing and retaining clients, and support company-related operational procedures.

Necessary Qualifications:

· Detail-oriented--- Able to absorb and retain detail across a wide spectrum, with exceptional accuracy.

· Multi-tasker--- Able to juggle multiple tasks simultaneously, setting aside current projects for pressing needs from clients or FAs.

· Team-player--- Motivated by helping others succeed. Willing to sacrifice preferred task list priorities for the good of others.

· Service-oriented attitude--- Enjoys serving and is observant/alert to needs of clients, Financial Advisor, and the overall business.

· Cheerful, helpful disposition---Balanced between pro-active/confident yet willing to take direction. Ready and eager to help others achieve desired results.

· Technology--- Comfortable with email, IM, web, network technology. Proficient typist. Familiar with Outlook, Excel, Word. Quick study with industry-related software (eg. NetX360, RedTail, MorningstarWorskstation)

· Phone skills--- At ease making and receiving phone calls. Instills confidence in the client with a personal touch. Articulate. Proper grammar.

· Self-starter--- Able to organize tasks and work independently with limited ongoing instruction. Able to identify needs and address to completion.

· Confidentiality--- Able to keep client information and business information confidential.

Bonus:

· Marketing background... creativity for business development, client retention/service.

· Securities registered

Results:

· Reduce administrative-related workload for FAs, so they are able to concentrate efforts on:

o Setting, conducting appointments with prospects and clients.

o Pursuing new strategies designed to grow the practice

o Analyzing investment options

· Competent support for the operational aspects of the business, instilling higher confidence and increased good will in the client base.

· Additional business generated through marketing and client retention efforts.

Duties:

1. Receive client phone calls, take messages if needed, and address administrative client requests/needs.

2. Call/email clients to handle administrative issues, questions, at the direction of the FA.

3. Track FA compensation, taking necessary follow-up steps to ensure compensation is realized.

4. Complete, process client forms (hard copy and/or electronic) before/after appointment is finished. Shepherd asset-transfer process, following up with clients, broker-dealer, and investment companies to ensure completion.

5. Ongoing daily navigation and data entry with CRM.

6. Execute trades as indicated in notes/paperwork/CRM or per FA instructions.

7. Maintain and update client contact information in appropriate places.

8. Make “courtesy calls” to clients on prescribed schedule.

9. Prepare birthday cards, Christmas cards for clients.

10. Execute client gift mailings.

11. Prepare, mail out cover letters, contracts for certain new business (life insurance, annuities).

12. Prepare and send client appointment follow-up letters.

13. Clear debit balances at quarter-end.

14. Coordinate and execute client events (workshops, client-appreciation, business development)

15. Other duties, as assigned, consistent with the title and function.