Client Relationship Consultant/401(k) Specialist

Essential Responsibilities

• Possess a thorough understanding of the retirement plans industry, including strong knowledge of 401(k) plan rules, ERISA regulations, and IRS guidelines
• Provide enrollment, transition, education, quarterly and annual meetings with plan sponsors, and their employees
• Develop and maintain relationships with plan sponsors, 401(K) providers, third party administrators and financial advisors: maintaining regular communication with each
• Affix to all compliance standards as required by broker-dealer
• Create and maintain records and files
• Maintain databases and create reports using portfolio software programs
• Aid financial advisors with marketing efforts including seminars, etc.
• Train other service associates when needed
• Cross-train on other operational functions and perform backup in these areas as needed
• Process and follow-up on client documentation for proper maintenance of accounts
• Responsible for entering plan activity in the RJ CRM system
• Adhere to applicable federal laws, rules, and regulations including those related to Anti-Money Laundering (AML) and the Bank Secrecy Act (BSA)

Minimum Required Skills & Competencies

• Series SIE/7, and 66 (or equivalent), Life Insurance license, or ability to obtain within six months of hire
• Previous experience providing retirement plan consulting in either a brokerage firm, the investment division of a financial institution or an investment advisory practice
• Strong educational background or equivalent professional experience conducive to providing advice and analyzing investment portfolios
• General computer skills to include competence in Windows and MS Outlook
• High School graduate or equivalent
• Regular attendance is required
• Project an excellent customer service attitude
• Good interpersonal skills to deal with clients, financial advisors and other staff
• Strong written and verbal communication skills sufficient to deal with financial advisors, clients and other staff
• Professional and pleasant appearance and demeanor to work with clients
• Ability to work under pressure and meet daily deadlines
• Good organizational skills to be able to prioritize tasks
• Good analytical skills to be able to research account information
• Mathematical abilities sufficient to process account and transaction information
• Ability to operate general office equipment (copier, fax, etc.)

Desired Skills & Competencies

• Clean compliance record, such as on http://brokercheck.finra.org/
• Complete competence in Microsoft Word, Excel, Outlook
• At least 5 years securities/retirement plan industry or related work experience preferred
• Recognized professional retirement plan designation such as Chartered Retirement Plan Specialist (CRPS), Accredited Investment Fiduciary (AIF®) or Certified Employee Benefit Specialist (CEBS)

Physical Requirements

• Express or exchange ideas by means of the spoken word via email and verbally
• Erect or exchange ideas by means of the spoken word via email and verbally
• Exert up to 10 pounds of force occasionally, use your arms and legs, and sit most of the time
• Have close visual acuity to perform activities such as analyzing data, viewing a computer terminal, reading, and preparing documentation
• Not substantially exposed to adverse environmental conditions