Experience and Skills
* May be required to successfully complete the (SIE) Securities Industry Essentials and FINRA General Securities Representative (Series 7) Exam and Uniform Securities State Law Exam (Series 66 [or Series 63/65]).
* Previous experience in an office setting required.
* High School diploma, GED or comparable work experience. Post-Secondary education preferred.
* Solid technology skills (Microsoft Word, Excel and Outlook).
* Excellent communication (written and verbal), problem solving and client service skills.
* Strong attention to detail and accuracy including the ability to perform semi-advanced math.
* Ability to manage multiple demands and competing priorities in a deadline-oriented environment.
* Ability to maintain regular, predictable attendance and to work overtime as needed.
* Provide exceptionally professional and courteous customer service supporting client satisfaction including effectively articulating certain requirements in a regulatory environment.
* Adherence to all Branch, Firm and Compliance policies, procedures, rules and regulations.
* Review, maintain and process account documents and information - Inform FA of important information and activities related to client accounts and transactions including suspicious activity.
* May assist FA with comprehensive financial plans for current and prospective clients.
* Assist FA in developing and implementing periodic client mailings, communications and events.
* Facilitate the transfer of client funds and/or securities and the issuance of checks upon request.
* Provide administrative support, including but not limited to phone, correspondence, appointments, filing and other projects as assigned by the FA and/or Branch Manager.
* Other projects and duties as assigned