Registered Sales Assistant - Financial Planning Firm

Position Overview

 

Cedar Brook Financial Partners in Cleveland, Ohio is seeking a talented Registered Sales Assistant to provide support to Registered Representative(s) in the areas of administration, marketing and financial planning.  The Registered Sales Assistant will work more closely with clients in areas of client service that do require a license.  The Registered Sales Assistant will follow high standards of business and professional ethics when dealing with others and/or performing work activities.

 

Position Requirements

·  Bachelors Degree in Finance, Business or related field preferred

·  Previous customer service experience preferred

·  2+ years securities or related industry experience

·  Series 6 or  7 licenses required (or ability to earn licenses within 6 months of hire) 

·  Familiar with Broker/Dealer systems i.e. National Financial Services or Pershing.

·  Ability to be at work on a regular basis

·  Ability to communicate with co-workers, customers, and various business contacts in a courteous and professional manner

·  Ability to follow-up on new business & transfers until completed.  Must be a self starter and take initiative to process the work flow.

·  Ability to investigate and research situations

·  Ability to maintain confidentiality

·  Ability to make rule-based and analytical decisions

·  Ability to manage several simultaneous tasks

·  Ability to organize, prioritize, and handle multiple tasks

·  Ability to pay close attention to detail, work under pressure and meet deadlines

·  Ability to take complete and accurate notes

·  Ability to train employees on processes and procedures

·  Knowledge of general securities industry terminology and practices

·  Knowledge of Act (client management) program preferred

·  Skill in operating various office equipment including personal computer, fax machine, copier, etc.

·  Skill in utilizing various software packages such as Microsoft Office (Word, Excel, Outlook) and Morningstar

·  Skill in working with internet browsers

·  Skills in verbal and written communication

 

Job Duties/Tasks

1.  Perform administrative and support functions for the office including maintaining files, preparing correspondence, running reports, answering telephones, scheduling appointments, copying materials, faxing information, processing new business and incoming accounts.

2.  Organize, coordinate, and maintain all client paperwork.Correspond with clients to complete new accounts, asset transfers, and other forms.

3.  Handle routine matters for client accounts to include processing name and address changes, account applications and bank authorizations; answering client questions via telephone and face to face.

4. Communicate efficiently and succinctly with the planner as to the status of all administrative tasks including new business and existing client maintenance.

5.  Enter trades from clients under the supervision of the OSJ

6.  Research and resolve client service problems by contacting Home Office and Sponsor Companies to resolve problems or errors as needed.

7.  Set-up and maintain client management system

8.  Handle ordering and distribution of birthday cards, and Holiday cards.  Arrange gifts for client which are no more than $100 in value

9.  Provide marketing support for the office to include:Send marketing brochures to clients and prospects at direction of Representative(s)Follow up on referrals, leads, prospects or clients with letters or notes signed by Representative(s)Handle unsolicited calls from prospects to schedule appointments or refer to Representative(s) Coordinate seminars or client appreciation events

10.  Ensure branch office meets Securities America's compliance requirementsRecord all transactions on appropriate logs and blottersSet up client files correctly and obtain necessary information

11. Assist with other duties and projects as assigned.