Job description
Join the Hartford Courant/Fox 61 Top Workplace for 9 Years in a Row - #1 in 2017 & 2019!OVERALL OBJECTIVE
In accordance with the Program’s policies andprocedures, this position supports several financial advisors, including
processing transactions, performance of administrative duties, and fielding client and Advisor inquiries relating to financial products and services. This position will report to the Business Development Manager (BDM), with a dotted line to the supported Financial Advisor.
ESSENTIAL FUNCTIONS
Administrative
Under the direction of the Business Development Manager (BDM), and the Financial Advisors, the incumbent is responsible for the following tasks, which must be done with minimal direct supervision:
- Fully supports Financial Advisors with customer correspondence and communications related to account documentation, account servicing, and client inquiries.
- Prepares account opening and servicing documents for financial advisors, reviews all paperwork and documents for completeness and accuracy, resolves discrepancies in new account or service documentation, submits paperwork in accordance with prescribed policies and procedures.
- Receives and handles client inquiries per the direction of the Financial Advisors.
- Resolves routine and complex inquiries on customer accounts, including research and follow up.
- Handles appointment scheduling, appointment preparation, calendar management, and all follow up responsibilities as directed by the Financial Advisors.
- Applies knowledge of a variety of computer software programs of the Broker / Dealer, including order entry, back office account maintenance and on-line market information systems, and integrates their functions with generic software platforms such as MS Office programs.
- Applies general knowledge of the financial markets as well as investment and banking products and services.
- Performs other duties related to supporting the financial advisors.
- With guidance from the supported Financial Advisors and BDM, assist Financial Advisors in their client servicing and marketing efforts.
- Assists in the generation of sales activity and client service via facilitating campaign and general mailings, telephone driven outreach, client and portfolio review information, and Goal Planning and Monitoring materials.
General Office Equipment
MINIMUM KNOWLEDGE/SKILLS REQUIRED
Language and reasoning and analytical skills at a level acquired through completion of a Bachelor’s Degree or equivalent work experience required. Minimum FINRA Series 6 and 63 required, though FINRA Series 7 and 63 highly preferred; FINRA Series 65 (or FINRA Series 66 equivalent) and life insurance licenses preferred.
One year of experience in the financial industry required. Excellent telephone etiquette skills and professional business
writing, as well as strong mathematical aptitude required. Is courteous and professional in all contacts and maintains a professional office environment to promote a favorable public image. Proficiency in Microsoft Office software, specifically WORD and EXCEL, is required, as well as strong computer aptitude.
ACCOUNTABILITIES
Adheres to applicable federal and state regulations and Bank policies and procedures, including OFAC, BSA, PATRIOT Act, Privacy, and consumer protection regulations pertaining to incumbent’s business line.
Completes required training (on-line and in-person) by set due dates.
- LI-AM
All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, or national origin, disability, protected veteran status.
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