Primary responsibility will be to assist the Financial Advisors of Enterprise Wealth Products Group to maximize the client relationship and assist with administrative duties.  Tasks include preparing documents and other related support duties ensuring the continuance of an efficient and organized office.
 

• Assist sales team time by screening, routing telephone calls and taking/relaying messages to the appropriate personnel; drafting letters and documents; research, collecting and analyzing information in preparation for client meetings and client needs. Maintain sales team calendar by planning and scheduling client meetings and appointments, scheduling conference room booking and luncheons.
• Provide operational support to team by preparing and executing account-opening documents; ensure the accuracy and timeliness of document submission to vendor firms by reviewing data for deficiencies, resolving discrepancies using standard policies and procedures and/or returning incomplete documents to sales team member for resolution; the monitoring and reconciling account processing from submission through completion.
• Handle confidential information and client inquiries and requests by providing high level of service to achieve client satisfaction (i.e. account services, withdrawal requests, address change, etc.).
• Initiate, complete and renew licensing of sales team with appropriate state and federal Insurance Department and FINRA regulatory agencies.  Ensure sales team is current in continuing education requirements to meet securities, insurance and annuity regulations. 
• Maintain Broker-Dealer books and records; reporting of all correspondence to Compliance Department on monthly basis; reporting of all checks and securities received to Compliance Department on monthly basis, ensure all materials, presentations and marketing letters are updated and current to comply with broker-dealer rules and requirements.
• Creation and maintenance of client hard copy files in accordance with industry regulations and procedures.  Provide direction for retention, protection, retrieval, transfer and disposal of records.
• Prepare and enter data into contact management software, ensure accuracy of data entered by reviewing, correcting, deleting and updating client information as needed.
• Maintain office to adhere to all regulatory compliance guidelines and procedures through maintenance of industry-required records.
• Remain current in Broker/Dealer, clearing firm and investment/insurance company operational rules and regulations.
• Gather data and prepare weekly and monthly assets under management, unit and individual commission detail reports to finance department and division leaders.
• General clerical/administrative duties to include greeting of clients; receiving, sorting and posting of daily mail, and deliveries; filing of all pertinent correspondence and statements to client files; ordering of office supplies and materials.
• Performs other duties as required.

Qualifications:

• Team-oriented, possess a positive attitude and work well with others
• Excellent interpersonal and customer service skills
• Ability to prioritize; handle multiple tasks; and work independently
• Strong organizational skills and detail-oriented with high degree of accuracy
• Strong written and oral communication skills
• Strong math and problem solving skills
• Must maintain confidentiality of client transactions and client records
• Good phone voice with professional and well-groomed appearance
• Ability to operate standard office equipment, such as, computer work stations, typewriters, calculators, and copier
• Thorough knowledge of bank operations, products and services offered at the bank
• Ability to learn Broker/Dealer systems and financial planning software – Redtail and eMoney

Supervisory Responsibilities:

• None

Education and/or Experience:

• Three to five years of related experience, Associate’s degree (A.A.), or equivalent from two-year college or technical school; or three to five years of experience in the financial and insurance services industry

Computer and Software Skills:

• Skilled in operation of a personal computer, including Microsoft Office
• Google Mail
• Salesforce
• Redtail
• eMoney

Certificates, Licenses and Registrations:

• Financial Paraplanner Qualified Professional^TM  (Registered Paraplanner®) preferred but not required
• FINRA Registration, preferred but not required