Wealth Sales Assistant Unreg

Responsibilities

• Interacts daily on the phone and/or in person with prospective and existing clients to respond to and resolve client servicing requests.
• Affords administrative and operational support to Wealth Advisors, including taking trade instructions.
• Learns and adapts to the service needs of various clients and accounts and responds promptly to requests and inquiries from clients and assigned Wealth Advisors.
• Handles client outreach throughout the year including scheduling reviews, birthday and holiday mailings, seminar, and client event invites. and general correspondence.
• Affords general correspondence, answering and returning calls, and calendar management as needed.
• May train others on products, services and related procedures, policies and technology.
• Proactively identifies and assesses risk and gaps in adherence to policy and procedures.
• Participates in identifying areas of concern and keeps management informed as needed.
• Maintain Accounts and Documentation Submission
• Work within multiple technology platforms with a high level of accuracy in order to open accounts, process distribution requests, update accounts, and enter client trades and transactions.
• Maintain a system for organizing annual reviews, ensuring advisory account requirements are met, and documenting meeting notes.
• Work with outside vendors and the institution’s broker dealer to follow up on items in process, resolve account notifications, and research various issues on behalf of assigned Wealth Advisors.
• Ensure new business documents are accurate and successfully submitted including preparation of forms, obtaining appropriate signatures, submission and follow up on new account documentation.
• Accurately and efficiently completes tasks; double checks the accuracy of trades entered, new account forms, and all required documentation is in good order.
• Risk Mitigation
• Follows strict compliance guidelines as set by broker dealer and follows all broker dealer/ONI policies and procedures.
• Affords advisor(s) in preparation of branch audits.
• Maintain branch compliance files and submits monthly correspondence for review.
• Mitigates risk through appropriate authentication procedures and standards.

Qualifications And Education Requirements

• Associates or Bachelor’s degree preferred or 5+ years’ related work experience and related training.
• Experience with Microsoft Office required; experience working with a CRM system preferred.
• Experience in the securities industry and/or a sales assistant role.
• Product knowledge - Has a thorough understanding of the investment industry and knowledge of products and services offered including the various advisory platforms Knowledge of the securities market and brokerage accounts.
• Series 7 and 66 required.