SUMMARY OF RESPONSIBILITIES
Assists Financial Advisor with the maintenance of customers’ accounts and performs a wide variety of administrative support duties. Receives and enters trade information.
Maintains accurate customer account records.
Assists in the opening of customer accounts.
Processes customer account changes.
Provides quotes and other information to assist customers.
Provides reports and other information to Financial Advisor as needed.
Responds to customer inquiries; research questions; resolve problems.
Writes and enters orders as directed by the Financial Advisor.
Performs various administrative duties (i.e. typing, filing, answer phones, etc.)
Other duties as assigned by Supervisor.
KNOWLEDGE, SKILLS AND QUALIFICATIONS
High School diploma or equivalent; 2 years college or business school certificate preferred.
2-5 years clerical-related industry experience; investment industry experience required.
Series 7/65 preferred.
Knowledge and strong focus on processes for providing exemplary customer service; includes customer assessment, meeting quality standards for service, and evaluation of customer satisfaction.
Interpersonal skills and communication skills (both written and verbal).
Knowledge of administrative and clerical procedures and systems such as word processing, spread sheet applications, managing files and records, and other office procedures and terminology. Ability to organize/prioritize.
General understanding of the investment brokerage industry, securities regulations, and investment products. Understanding of operations system (i.e. forms and their purpose).