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Form of work Job Overview
The Financial Associate is responsible for providing support to assigned Senior Financial Advisor(s). Areas of support provided by the Financial Associate include client service, account maintenance, document preparation, collection of client data, client servicing, and calendar management. This role is responsible for daily operations and must be able to work effectively with other Wealth Management staff members, branch partners, clients, and Senior Financial Advisors.
Responsibilities
Process new account applications, financial and maintenance requests (copy, mail, scan, upload to broker dealer platform). Review for completeness and accuracy.
Mailings - produce reports, create mailing lists, produce letters, mail to clients (includes monthly Review letters, Referral follow-ups, etc.)
Follow up on outstanding requests (e.g., transfers, withdrawals, death claims) with fund/insurance company.
Manage lead queue, address leads promptly and provide detailed status updates.
Create financial reports and tracking of leads.
Back to Reps (BTR's) - resolve BTR's in a timely manner
Take buy and sell orders from clients and place them with registered B/D for execution (mutual funds, annuities, insurance)
Work directly with Broker/Dealer, Annuity and Fund Companies when appropriate.
Schedule appointments for client meetings and maintain accurate records of appointments on financial advisor's calendar.
Comply with Citadel's and broker-dealer's operation and security and compliance procedures.
Perform other duties as assigned.
Qualifications and Education Requirements
High School Diploma
Bachelor's Degree (preferred)
5 years of customer service and financial industry experience
Series 6 and 63 licenses, or ability to obtain within the first 6 months in role.
Proficient skills in Microsoft Office products
Additional Skills/Notes
Results-driven, business acumen, excellent communication, planning and organizational skills and attention to detail.
Ability to set priorities and handle multiple tasks in a fast-paced work environment.
Dependable, responsible contributor committed to excellence and success.
Highly motivated self-starter who can work independently with minimal supervision.
Must display traits such as integrity, work ethic and team-orientation.
Sincere interest in providing outstanding member service.
Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities
The contractor will not discharge or in any other manner discriminate against employees or applicants because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant. However, employees who have access to the compensation information of other employees or applicants as a part of their essential job functions cannot disclose the pay of other employees or applicants to individuals who do not otherwise have access to compensation information, unless the disclosure is (a) in response to a formal complaint or charge, (b) in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or (c) consistent with the contractor's legal duty to furnish information. 41 CFR 60-1.35(c)
