Investment Services Sales Assistant

About the role

The Investment Services Sales Assistant at Regions provides general administrative support to Financial Advisors to help advisors focus on growing and retaining client relationships. This role involves facilitating daily transactional support, maintaining accurate client records, responding to inquiries, supporting client onboarding, contributing to sales efforts, and handling miscellaneous administrative tasks.

Responsibilities

• Facilitates daily transactional support for the Financial Advisor, including processing money movements, trade requests, and other client service transactions related to the investment relationship
• Maintains accurate and up-to-date client records within CRM systems
• Responds to advisor and client inquiries within authorized limits, providing information, addressing general requests, and coordinating required documentation with the broker-dealer and affiliated carriers
• Supports client onboarding activities and assists in the monitoring of first-line risk and compliance requirements
• Contributes to sales and relationship-management efforts by scheduling appointments, conducting follow-up calls, and preparing or maintaining client-facing marketing materials
• Collaborates with the advisor and internal operational teams to ensure timely fulfillment of client needs and to support both business development and client retention initiatives
• Supports FAs with miscellaneous administrative tasks as assigned
• Complies with internal policies and regulatory requirements

Requirements

• A High School Diploma or GED
• Six (6) months of sales or client service support or closely related experience

Preferences

• Life Insurance License
• FINRA registrations including the Series 6, 7, 63, 65, or 66

Skills and Competencies

• Demonstrated collaboration and relationship-building capabilities
• Proficient in Microsoft Office applications (Excel, Word, PowerPoint, etc.)
• Proficient record-keeping skills, including effective use of Client Relationship Management (CRM) Platforms
• Proven customer-service orientation with a focus on client satisfaction
• Strong analytical and problem-solving skills with keen attention to detail
• Strong collaboration and relationship building skills
• Strong time management and organizational skills
• Strong verbal and written communication skills

Finra Licensing

• Highly Preferred

Pay and Benefits

This position requires the tracking of time and is eligible for overtime for hours worked in excess of 40 per week under the Fair Labor Standards Act. Pay ranges are job specific and are provided as a point-of-market reference for compensation decisions. Other factors which directly impact pay for individual associates include: experience, skills, knowledge, contribution, job location and, most importantly, performance in the job role. As these factors vary by individuals, pay will also vary among individual associates within the same job. The target information listed below is based on the Metropolitan Statistical Area Market Range for where the position is located and level of the position. Minimum Job Range Target: $43,500.00 USD Median $52,540.00 USD Incentive Pay Plans This job is not incentive eligible. Benefits Information Regions offers a benefits package that is flexible, comprehensive and recognizes that "one size does not fit all" for benefits-eligible associates. Listed below is a synopsis of the benefits offered by Regions for informational purposes, which is not intended to be a complete summary of plan terms and conditions. Paid Vacation/Sick Time401K with Company MatchMedical, Dental and Vision BenefitsDisability BenefitsHealth Savings AccountFlexible Spending AccountLife InsuranceParental LeaveEmployee Assistance ProgramAssociate Volunteer Program Please note, benefits and plans may be changed, amended, or terminated with respect to all or any class of associate at any time. To learn more about Regions’ benefits, please click or copy the link below to your browser. https://www.regions.com/about-regions/welcome-portal/benefits

Location

Riverchase Complex North Building
Location: Hoover, Alabama

Equal Opportunity Employer

Regions is an equal opportunity employer including disabled/veterans.