Wealth Management Sales Assistant

What The Role is:

This Sales Assistant position is responsible for managing the existing client base to allow the Investment
Reps to spend much of their time obtaining new clients. However, due to FINRA rules, Sales Assistants
are not able to speak to clients about products or accept trade instructions unless they hold a Series 7 & 63/66 FINRA license.

How You Will Make an Impact:

• Compose and create routine reports/correspondence as needed
• Perform all clerical functions including preparation of client paperwork
• Submit basic customer service requests such as deposits and check disbursements
• Stay abreast of regulatory and compliance requirements

Who You Are:

• Two years college and/or five years professional experience, preferred
• Bank or brokerage experience, desired
• Customer service experience
• Ability to work well with others in a team environment
• Effective verbal and written communication skills
• Excellent time management skills
• Ability to use general office equipment and multi-task job functions
• Highly proficient in Microsoft Office applications: Word, PowerPoint and Excel
• Attention to detail

Behaviors

• Team Player: Works well as a member of a group

Motivations

• Goal Completion: Inspired to perform well by the completion of tasks

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)