Summary of Financial Services Professional
Highly desirable administrative service position in a financial advisory practice with fully paid medical, dental and a 3% contribution to your 401(k). Opportunity to be an integral member of a three person team, responsible for opening accounts, client service, and compliance with fiduciary regulations. Requires a self-starter and independent worker with high discernment and follow-up skills. The role ensures the accuracy of transactions, oversees account maintenance, and acts as a liaison with the broker/dealer. Familiarity with financial services administration through work experience in brokerage firms, bank advisory, independent wealth practices or retirement plan management are a must.
Principal Responsibilities
- Must possess excellent communication skills to facilitate processes within a team environment
- Meet with clients to complete paperwork; ensure all required forms are completed fully and accurately.
- Generate reports and presentations for advisor meetings with clients.
- Provide total office coverage in the absence of advisors or other employees
- Track pending business paperwork; update pending business summary sheet for advisor’s attention when documents are outstanding; track and tally all outstanding work weekly
- Build and maintain relationships with prospects and clients
- Organize client appreciation events and seminars
- Spearhead marketing programs for prospects and/or clients using tools such as mail merge.
- Update and maintain Customer Relationship Management (CRM) system of clients and prospects to ensure accuracy and maximize effectiveness of data
- Ensure check deposits and withdrawals are made in a timely and accurate manner.
- Oversee all areas of compliance
- Manage and resolve client service problems
- Maintain up-to-date organized client files, including copies of all signed applications and forms, according to compliance requirements.
- Prepare and send outgoing mail.
- Maintain appropriate turnaround time on incoming items (e.g., 24 hours for checks).
- Other duties, as assigned
Preferred knowledge/skills/competencies
- Bachelor’s degree from a 4 year college or university
- Vast Experience in the financial services industry
- Licensed (Series 6, 7, 63, 65)
- Proficient in Spanish
- Knowledge and/or experience with qualified plans
Required knowledge/skills/competencies
- At least three years experience in an administrative role within a financial services firm
- Ability to think conceptually and high attention to detail
- A self-starter who can work independently
- Ability to handle multiple tasks and operate under tight deadlines
- Detail-oriented; strong math, decision-making, and analytical skills
- Sufficient patience to do repetitive work correctly
- Demonstrated ability to work in fast-paced environment
- Excellent organizational and time management skills
- Sophisticated organizational skills, including physical resources (such as files, manuals, etc.) and nonphysical resources (such as calendars, appointments, events, client contact records, images, etc.)
- Familiarity with basic marketing concepts and practices
- An amazing attitude and extraordinary customer service skills
- Ability to think on one’s feet with changing situations
- Outstanding computer skills, including knowledge of CRM software programs and MS Office Suite (Word, Excel, and PowerPoint)
- Technical aptitude, including strong PC, Internet, and software skills
- Superior interpersonal, oral, and written communications skills in person, through email and on the phone
- Ability to break down complex objectives into discrete steps and tasks to facilitate successful implementation
- Exceptional customer service experience
- Ability to interact with people across all levels of the business
- Ability to effectively prioritize workload and meet deadlines
- Strong work ethic
