Job Description
Securities Sales Assistant Senior Location Bloomfield Hills, MI :
Securities Senior Sales Assistant The Securities Senior Sales Assistant (SSA) role is a position providing operational and sales support to multiple Financial Consultants (FC's) within their individual businesses, as well as to support office initiatives. The SA role assists one or more Financial Consultants (FC) in a Retail, High Net Worth, or Institutional capacity. Position Competencies Successful incumbents are customer focused, able to work independently, have exceptional teamwork, planning and organizational skills, are creative and innovative as well as effective communicators and strong attention to detail and the ability to problem solve and multitask. Primary Responsibilities: - This position holds responsibilities in 4 primary categories: Sales Support, Compliance, Customer Service, and Teamwork. Some of the primary responsibilities are listed below.
- Assists with the opening and maintenance of client accounts and records.
- Ensure completion of all paperwork for clients.
- Provide accurate, timely and courteous responses to clients.
- Organize client files and set up systems to assist Financial Consultant with regular follow up.
- Research and resolve complex and sensitive client problems and questions.
- Complete understanding of policies and procedures for firm and regulatory compliance.
- Copy and retain all necessary documentation.
- Maintain accurate office logs.
- Back up other sales associates as required.
- Identify any issues regarding office procedures and escalate as appropriate.
- Participate in office or firm-wide initiatives as requested.
- Demonstrate teamwork, cooperativeness, and positivity
- Follow appropriate approval channels for all correspondence and marketing
- Create client correspondence/mailings as requested.
- Perform operational or administrative functions for client related requests (i.e., check request, wiring funds, address change, dividend information, etc.).
- Enter trades as licensing and firm rules allow.
Position Qualifications: - Series 7 and Series 63 required.
- Willingness and ability to obtain FINRA Series 66 or 65, and resident state appropriate insurance and annuity licenses
- High school diploma required; college degree preferred
- 3+ years general clerical experience required.
- 3+ years experience in investments/brokerage industry and securities regulations.
- Advanced 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.
- Advanced knowledge of investment products
- Ability to organize/prioritize
- Practical problem solving
- Strong focus on providing exemplary client service
- Strong interpersonal skills
- Strong communication skills (both written and verbal)
- Excellent grammar and possess phone/office etiquette
- Must be able to manage stress, meet strict deadlines under pressure, perform with a high degree of accuracy, and consistently provide excellent customer service.
Pinehurst 8:00am - 5:00pm Monday - Friday
Job Tags
Full time, Work at office, Monday to Friday,