Registered Sales Assistant II

Responsible for all back-office support of the Wealth Advisors (WA's) including building and maintaining prospective and current client relationships through excellent customer service, organization and attention to detail. General working knowledge of investment industry with the ability to conduct necessary conversations, place trades, verbal and written communication and provide full account assistance for clients and wealth management team.

Responsibilities

Responsible for all back-office support of the Wealth Advisors (WA's) including building and maintaining prospective and current client relationships through excellent customer service, organization and attention to detail; General working knowledge of investment industry with the ability to conduct necessary conversations, place trades, verbal and written communication and provide full account assistance for clients and wealth management team; Answers incoming calls, assists with client account update requests, and/or routes calls to the appropriate area; Calls investment services clients to schedule appointments, reviews, and confirm appointments; Completes profile referrals for qualification and arranges appointments with assigned Wealth Advisors; Monitors Wealth Management inboxes; Emails pre-screening questionnaires, thank you letters to prospects, and welcome packs to new clients; Checks mail and schedules FedEx pickups; Mails out correspondence to clients including, but not limited to, review notices and birthday letters; Completes monthly non-electronic correspondence required by broker dealer, LPL Financial; Verifies member referrals are updated daily/weekly; Verifies that new clients are synced in core system and Customer Relationship Management (CRM) system; Verifies that paperwork has been sent to and received by appropriate parties in good order from start to completion; Assists in business development initiatives through client outreach, marketing assistance and planning; Assists in the implementation of ongoing marketing initiatives for the department; Makes outbound calls on warm lead lists to prescreen prospects, set appointments, and performs follow up on event campaigns; Processes and resolves operational items, including not-in-good-order processing, status inquires, notifications, communication, and broad support for Wealth Advisors

Requirements

High School Diploma or GED; 3-5 years similar or related experience of working in investments/wealth management in a financial institution required; 3-5 years similar or related experience in in-person, phone and/or virtual experience with clients; Required Licenses: SIE, Series 7, 63/65 or 66, and Arizona Life and Health Insurance license; High computer and office equipment-usage proficiency; Experience with Microsoft Office (Excel, Word, and PowerPoint) or similar software; Excellent verbal communication; High attention to detail and accuracy; Must be highly organized and a self-starter; Ability to identify, research, and solve problems quickly; Ability to interact with co-workers, dealers, members and clients in a highly professional manner; Ability to listen effectively, learn quickly, and organize work; Ability to shift quickly to new tasks when priorities change

Nice to have

Bachelor’s Degree; Experience with Salesforce customer relationship management (CRM) software or similar package

Benefits

Generous paid time off: paid holidays, floating holidays, personal days, vacation days, plus sick time; Low-cost Medical, Dental & Vision plans; Paid childcare assistance; Award-winning 401K; Gym fee reimbursement; Tuition Reimbursement; Student loan repayment