Location: Little Rock - Investment Offices
Approx. Hours of Work: Monday - Friday, 7:30 am - 4:30 pm
Education/Training : C ollege degree in business or finance related field, or its equivalent in education and/or experience.
Experience : Minimum of six months preferably at least two years experience in a similar position at a FINRA regulated firm. Must have Series 7 and 63 licenses
Skills and Equipment : Ability to collect and analyze a client’s financial information. Ability to utilize Bloomberg and other financial industry platforms to identify and analyze appropriate securities and strategies. Familiarity with Microsoft Office. Knowledge of basic selling techniques.
General Summary : The Registered Representative will use their expertise and knowledge of the securities industry, markets and strategies to analyze and to interpret the client’s investment objectives in light of various factors, and then provide individual investment advice that is suited to those objectives.
Physical Demands and Working Conditions : Normal office environment. Multi-task oriented, with the ability to effectively carryout numerous tasks at the same time. Occasional travel, which may include some overnight stays. Some night and weekend work as needed. Could be subject to occasional lifting up to 30 lbs. Very mentally stressful with heavy customer contact. Highly sensitive/confidential nature of work. Must have the ability to make recommendations to effectively resolve problems or issues, by using judgment that is consistent with standards, practices, procedures, regulations or government law. Must have the ability to research and analyze various different types of data information. Attendance, before and after normal business hours, for business and community activities may be requested.
Compliance : Ensure all departmental documents are prepared and activities are performed in compliance with applicable laws, regulations, policies and procedures. Complete mandatory compliance training modules as required.
Other Characteristics : Must be able to present a friendly, professional image for Simmons First. Must possess excellent telephone and customer service skills. Must be able to handle customer’s questions or direct calls to appropriate areas. Highly sensitive and confidential nature of work. Maintain punctual and regular attendance. Recognizes that good judgment must be used in displaying professional conduct and a professional appearance. Must be available to travel to affiliates and subsidiaries for meetings, seminars or as required. Maintain up-to-date knowledge of legal developments and reporting requirements on job-related programs. Knowledgeable of and experienced with information privacy laws, access, and release of information. Will have the opportunity to be involved in community and charitable organizations. Must possess excellent people skills. Good interpersonal skills.
Simmons First National Corporation - 18 months ago