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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in providing administrative and operational support to Financial Advisors, with a strong focus on client servicing, securities markets, and effective communication. Proficient in managing documentation, utilizing Salesforce, and maximizing sales opportunities within the financial services industry.
Highest-signal resume keywords
Bachelor's DegreeFINRA Series 7 LicenseFINRA Series 66 LicenseSecurities Industry ExperienceSales Assistant Role Experience
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Client ServicingInvestment ResearchFinancial PlanningDocument FulfillmentRisk MitigationOperational Requests ProcessingSecurities Markets KnowledgeAnnuity Products KnowledgeSales MaximizationCalendar Management
Soft Skills
Exceptional Telephone SkillsEffective Time ManagementProfessional CommunicationSelf-Directed Work StyleAbility to Evaluate Complex Information
Tools & Technologies
SalesforceMicrosoft Office
Certifications & Qualifications
FINRA SIE License
Industry Keywords
Brokerage AccountsCorporate ActionsClient AuthenticationMarket InformationTrading Questions
About the role
Key responsibilities & impact- Provide administrative and operational support to Financial Advisors
- Assist Financial Advisors with client servicing, financial plans, investment research, trades and transactions
- Receive and place orders and respond to market information and trading questions
- Process corporate actions, including tender offers, optional dividends, warrants and rights
- Schedule and confirm client appointments; maintain Salesforce data, meeting agendas, summaries and client records
- Coordinate marketing events and perform general administrative functions
- Manage the Financial Advisor's calendar to maximize appointment productivity
- Maximize sales opportunities using internal and bank leads and identify sales potential
- Provide operational guidance on systems navigation and document fulfillment
- Prepare, obtain signatures for, submit and follow up on new account documentation
- Mitigate risk through client authentication and callbacks for high-risk transactions
- Process operational requests including distributions, check deposits, journals, account updates and ACAT initiation
- Coordinate with Financial Advisors on reports involving insufficient funds and unmet RMDs
- Assist with physical branch needs, including opening, closing and maintenance requests
Requirements
What you’ll need- Bachelor's degree or equivalent experience and related training
- Experience in the securities industry and/or a sales assistant role
- Knowledge of securities markets and brokerage accounts
- Knowledge of the features and attributes of annuity products
- FINRA SIE, FINRA Series 7 and FINRA Series 66 licenses; candidates with at least one required license may obtain additional licenses during employment within 365 days
- Exceptional telephone skills and ability to interact appropriately with clients regarding securities transactions and brokerage accounts
- Effective time management skills
- Ability to communicate effectively and professionally with clients, managers and teammates
- Ability to evaluate, assimilate and utilize detailed and complex written and verbal technical information
- Ability to work in a self-directed fashion
- Proficiency in basic computer applications, including Microsoft Office
- English language fluency required
Benefits
Comp & perks- Medical insurance
- Dental insurance
- Vision insurance
- Life insurance
- Disability insurance
- Accidental death and dismemberment coverage
- Tax-preferred savings accounts
- 401k plan
- At least 10 days of vacation during the first year (prorated)
- 10 sick days during the first year (prorated)
- Paid holidays
- Defined benefit pension plan (position/division dependent)
- Restricted stock units (position/division dependent)
- Deferred compensation plan (position/division dependent)