Financial Advisor Sales Assistant

GENERAL SUMMARY: Provides sales support and client relationship management for Financial Advisor(s). Following NASD (National Association of Securities Dealers), SEC (Securities Exchange Commission) rules, Maryland Insurance Administration, and OCC Interagency Agreement guidelines and regulations, conducts business operations for our registered Broker/Dealer involving the purchase and sale of securities and insurance. MAJOR JOB ACCOUNTABILITIES

1. Provides essential sales support for Financial Advisor(s) to include, but not limited to: client correspondence, maintenance and distribution of account opening and sales materials, assistance with technology platforms (i.e. Morningstar Advisor Workstation and Naviplan Financial Planning software), and any necessary client account research in preparation for a client meeting.

2. Provides assistance with business development efforts such as client advisory councils, seminars and referral contests.

3. Provides service to internal and external clients who are contacting the Financial Advisor. Provides necessary research and applicable information, or resolves problems, trading issues, and service issues to fulfill client requests.

4. Coordinates all efforts to fulfill “treatment strategies” as set forth by the Investment Services department to meet expectations and provide a high level of service to each segment of clients. This includes, but is not limited to, sending thank you cards, holiday and/or birthday cards, setting appointments, and preparing materials for delivery to client. Uses the contact management system (i.e., salesforce.com) to coordinate these efforts.

5. Assists Financial Advisor with paperwork for client account opening, and helps to clear any audit issues post-sale.

6. Prepares and works with Investment Services Department on requests for legal approval of seminar outlines, marketing materials, special correspondence or mailings to clients, as well as licensing and appointment requests for the Financial Advisor.

7. Assists Financial Advisor by confirming all trades were executed properly and commissions collected from broker/dealer.

8. Assists Financial Advisor with appointment schedule coordination. Sales Assistant will also answer phones and open all mail.

9. Conforms to all regulating agency’s laws governing each license held. Complies with all continuing education training requirements. * * *Positons available in Leisureworld and Olney, MD * * *



KNOWLEDGE, SKILLS, AND ABILITIES:

1. Position requires a minimum of 3 years work experience in the financial services industry with a general understanding of investment transactions and principles. A Maryland Life & Health Insurance License, and/or a NASD Series 6 or 7, and 65 or 66 license are preferred for hire. The Maryland Life and Health License and an NASD Series 7 are required within one year.

2. Work requires regular contact with diverse clients in furnishing and obtaining information, which requires some cooperation. Effective oral and written communication skills are needed.

3. Experience using personal computer systems is required including software applications such as MS Word, MS Excel, and database management.

4. Advanced problem solving skills are needed to find solutions to problems that require collection, interpretation, and analysis of data from diverse sources. Situations require knowledge of various departments and usually involve human, technical, and/or administrative problems.

5. Work requires regular internal and external contacts to resolve client questions or problems or to clarify policies/procedures that require the use of sensible judgement, tact, and persuasion to obtain results.

6. Work is under minimal supervision where the work requires independent judgement in the interpretation of existing policies and procedures and the selection of alternative procedures and work routines.

7. As a licensed investment representative, must abide by all regulatory agency laws governing each license held. Also must attend all necessary continuing education training programs and meetings to maintain licenses. EOE/AA