Description
GENERAL FUNCTION: The Securities Licensed Sales Assistant provides sales support to registered securities representatives (e.g., Retail Investment Consultants, Private Client Advisors, or Wealth Management Advisors), as well as executes trades on larger accounts. The Licensed Sales Assistant has a strong understanding of the brokerage industry, trading operations and the Bank\'s brokerage products.
ESSENTIAL DUTIES & RESPONSIBILITIES:
* Ensures that all assigned trading transactions are executed in a timely and accurate manner, and that all documentation is maintained to standards.
* Solicits additional customers for registered securities representatives.
* Supports multiple registered securities representatives or representatives with very large books of business.
* Has regular contact with clients regarding their accounts, their allocations and makes recommendations about their investment strategy.
* Executes orders for clients at the direction of the registered representative.
* Opens new customer accounts.
* Works with Banking Center or Private Client Group personnel to increase sales and referral opportunities.
* May independently meet with clients to review account status, answer questions, collect information, etc.
* Handles various administrative functions for the registered securities representatives.
* Performs various projects as needed.
* Ensures that all trading activity complies with SEC and internal compliance regulations and guidelines.
SUPERVISORY RESPONSIBILITIES: None
Job type: Full Time
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