CIC Registered Operations Specialist, Central Investment Center

Job Summary

Provides sales support and administrative duties for the Financial Advisors of Central Investment Center.

Qualifications/Requirements

• Bachelor’s degree or equivalent experience
• FINRA series 7, 63 licenses (24 license preferred)
• Life Insurance License preferred
• Two+ years’ experience in brokerage industry

Essential Job Duties and Responsibilities

• Aid Financial Advisors in daily sales support and oversight duties
• Process trade corrections and act as a liaison between Financial Advisors and clients
• Provide telephone support, schedule appointments, and prepare materials for client meetings
• Aid Financial Advisors in preparing client illustrations, graphs, charts, reports, etc.
• Prepare and complete client paperwork and follow up tasks
• Aid with processing of business as levels dictate, including entering trades as instructed
• Conduct proactive outreach to clients and Financial Advisors on time-sensitive activities
• Spend time with clients on the phone, via virtual visits, and in person to ensure client service level needs are met
• Set client financial review meetings and prepare follow-up meetings based on needs
• Process client requests for IRA and Preferred account distributions, including placing trades
• Assume ownership of inquiries and requests; communicate with internal departments to ensure client’s expectations for timely service delivery are met
• Handle mail and respond to email, as it relates to the processing of client requests
• Maintain compliance of operations as applicable to company, state and federal rules and regulations
• Maintain client communication notes in CRM while following internal standards in a timely manner
• Use the Raymond James back office support system for client accounts
• Absorb new account numbers and assist with obtaining new account numbers
• Provide backup for making daily deposits and input details on the Raymond James system, balancing both records
• Log daily account information, copy and fax to Raymond James for processing
• Log incoming checks, copy and overnight mail to Raymond James for processing
• Maintain tickler file to submit requests in a timely manner and day-to-day follow through on requests
• Educate clients on account services, capabilities, and new technology
• Complete required corporate training on new technologies and follow implementation guidelines
• Perform general administrative services and other duties as assigned

Benefits

• Health Insurance
• Dental Insurance
• Vision Insurance
• Paid Vacation
• Paid Holidays
• Employee Stock Ownership Plan
• 401k Plan
• Flexible Benefit Plan
• Voluntary Life Insurance
• AD&D Insurance
• Paid Identity Theft Protection
• New Hire Incentive (for hourly employees)
• Personal Day
• Appointment Time
• Long Term Disability
• Service Awards
• Attendance Awards
• Funeral Leave
• Subsidized Parking (Downtown)
• Sick Leave
• Employee Wellness Program
• Dell Computer Discount
• Discounted Banking Services
• Discounted Tickets
• Jeans days to benefit local charities
• Interest-Free Computer Loan
• Interest-Free Fitness Equipment Loan
• Discounted AAA Membership
• Discounted Fitness Discounts
• Interest-Free Fitness Equipment Loan
• Service Awards
• Attendance Awards
• Funeral Leave
• Subsidized Parking (Downtown)
• Sick Leave
• Employee Wellness Program
• Dell Computer Discount
• Discounted Banking Services
• Discounted Tickets
• Jeans days to benefit local charities
• Interest-Free Computer Loan
• Interest-Free Fitness Equipment Loan
• Discounted Fitness Discounts