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Form of workPosition Summary:
As an employee of the Bank, supports company culture and mission statement to Have a Positive Impact on Peoples Lives. Responsible for proactively assisting the Financial Advisors with administrative duties incidental to securities and financial planning and by serving customers with inquiries on their accounts. Promotes other investment and banking services to customers as needed.
Principal Responsibilities and Duties:
1. Supports Advisor in Sales and Service
- Prepares client reviews for advisor appointments including calling vendors to get detailed policy information and values.
- Opens accounts for individuals and complex entities like trusts and employer plans on the advisors direction.
- Prepares all appropriate forms and summaries for clients prior to appointment.
- Builds and distributes monthly reports for Financial Advisors including cash balance, last contact and others as needed.
- Researches and completes monthly low balance reports.
- Prepares and distributes monthly payroll and P&L reports.
- Submits and follows up on client paperwork to transfer assets to/from the bank, set up accounts, beneficiaries, investment profiles, etc.
- Continuously follows up with Raymond James home office and/or vendors to ensure tasks are completed timely and accurately.
- Scans appropriate documents into Raymond James electronic filing system to ensure accuracy, future availability and maintain electronic branch status.
- Responsible for the content as well as completeness of customer files with all necessary statements and documents.
- Enters Goal Planning and Monitoring, financial plans into Raymond James.
- Updates client data management system (CRM and Client Center).
- Follows up directly with clients when paperwork is needed, rejected or missing, meeting with clients as needed to gather signatures.
- Maintains intermediate level of understanding of financial products used within the practice.
- Enters annuity orders for clients
- Responsible for updating outside vendors with correct FA information ongoing as well as when a FA resigns and when a new FA is hired.
2. Assists Customers
- Serves as the primary point of contact for the customer in the absence of the assigned financial advisor.
- Deposits and distributes checks to clients on Financial Advisor and clients request.
- Places trades in accounts as directed by financial advisors.
- Works closely with the Financial Advisor and client on annual required minimum distributions.
- Interacts daily on the phone and in person with prospective and existing clients by handling inquiries.
3. Performs Administrative Activities
- Assists advisors in meeting new regulations in client accounts and service.
- Creates and maintains up to date procedures for daily tasks.
- Greets clients, answering questions and/or directing them to appropriate representative.
- Prepares mailings such as birthday cards, Thanksgiving cards, appointment reminder cards seminar invitations etc.
- Organizes client and prospect events such as seminars, vendor days, Client Appreciation event, sponsorship events and internal marketing strategies.
- Makes client phone calls for scheduling appointments.
- Posts, tracks and submits daily transactions.
- Opens, distributes and mails daily correspondence.
- Maintain branch office compliance files.
Knowledge, Skills and Abilities Required:
Associates Degree along with three years related financial industry experience preferred or 5 or more years of equivalent work experience required. Word, Excel, and basic computer knowledge required. Must be able to work within deadlines. Strong attention to detail and the ability to multi-task. Strong interpersonal and organizational skills. Ability to work independently. Strong Customer Service skills. Proven time management skills. Strong analytical and problem-solving skills. License 7 and 63 and life and health insurance license desired.
Competencies:
Composure, customer focus, perseverance, process management, team building, personal accountability and priority setting.
