Financial Advisor Assistant

Qualifications

• High school education or equivalent required, associate’s degree in business preferred.
• Working knowledge of financial services industry including investments and annuities.
• Computer literacy.
• Functional familiarity with all aspects of Windows applications and navigation as well as competency with the Microsoft Office suite of products.
• Regular and predictable attendance.
• PA State Insurance Licenses preferred or obtained within 18 months.
• Series 7 & Series 66 preferred but not required.

Principal Activities and Duties

• Make outgoing calls to existing customers to obtain updated information and schedule appointments for periodic financial reviews with the Investment Executive.
• Make outgoing calls to potential customers to schedule initial appointment for sales opportunities with the Investment Executive.
• Field incoming calls from existing and potential customers.
• Be able to recognize potential investment opportunities from existing and potential customers and refer to Investment Executive.
• Absorb and assist in the process of opening new accounts as well as repapering current customer accounts, as needed.
• Update customer information (address, phone number, etc.) on within Cetera’s platform.
• Act as liaison between Investment Representative, Licensed Bankers and Cetera for administrative support.
• Attend training and sales meetings conducted by Cetera including Marketing Central.
• File statements, trade confirmation, etc. and maintain customer files in accordance with all regulatory authorities.
• Comply with all rules, regulation and policies of Cetera, all State and Federal securities regulators and self-regulatory organizations.
• Evaluate customer needs and referral possibilities.
• Work closely and effectively with the Bank’s Financial Professionals.
• Exhibit a professional and courteous demeanor both in person and on the telephone.

Supporting Activities

• Provide timely reports to ensure that client information and sales number are accurate utilizing both SharePoint and Cetera.
• Provide audit support to the program and the Investment Representatives by organizing the marketing files and reviewing accounts as needed.
• Support the program with reports and projects as needed.
• Stay on top of the evolving compliance and technology as it relates to Cetera and the program.