Specific responsibilities may include some or all of the duties outlined below:

SUPPORT

• Handling case notes, processing correspondence, maintaining client case files and filing performance reports, account forms and other advisory paperwork
• Responding to home office account inquiries
• Monitoring and stocking marketing materials for Signature Portfolio advisory program
• Monitoring industry trends and research
• Ensuring NMIS Compliance requirements are implemented and followed

PROPOSAL AND CASE PREPARATION

• Gathering information for Financial Advisor’s meeting with client/prospect
• Preparing advisory annual review information
• Preparing and modifying planning analyses and investment/advisory proposals
• Preparing letter of instruction for client signature
• Preparing investment policy statement, needs-based analysis or financial plan

Processing Accounts

• Preparing and processing all paperwork needed for investment/advisory accounts
• Processing and monitoring funding of advisory account and asset transfers to ensure selected asset allocation is implemented
• Identifying need for switch letter and mailing appropriate forms to clients
• Discussing potential rollover opportunities from other retirement plans for variable and mutual funds
• Receiving and forwarding checks and related paperwork to investment operations area
• Processing proposal amendments in Envestnet
• Administering advisory accounts according to program guidelines

Client Service

• Corresponding with clients to handle advisory-related service issues
• Contacting clients on behalf of the Financial Advisor to develop advisory plan and provide technical explanations of investment plan
• Formulating advisory product solutions to/for a client or explaining advisory products or advisory performance
• Accepting redemptions/withdrawals from clients and communicating instructions to home office
• Maintaining daily tickler system for account follow-ups and service requirements
• Running performance reports in Envestnet, Morningstar and NMCIR

Qualifications

• Health and Life licensed or gain licensing within 6 months of employment
• Financial Service or Insurance industry experience preferred
• Associate Agent Contract required
• Experience in administrative support or customer service, preferably in the financial services and/or insurance industry
• Excellent oral and written communication skills
• Familiarity with Microsoft applications and data entry and information retrieval software
• Demonstrated organizational and time management skills and ability to multitask, set priorities and meet deadlines
• Strong attention to detail with the ability to work with a high degree of accuracy
• Ability to proactively identify what needs to be accomplished and take action as appropriate
• Has interest in learning on a continuous basis
• Ability to embrace change and work in a fast-paced environment
• Ability to work both independently and in a team
• Ability to maintain confidentiality