Supports one or more Financial Advisor or Private Financial Advisor (Advisors). Works closely with Advisor(s) to meet the needs and objectives of the client(s). Assists customers with trades (if licensed), requests for information, research, account problems etc. – all types of customer service. Assist with all operational requests. Utilizes tools and resources to help Advisor(s) with the growth of their business. Complies with all compliance & risk management policies and procedures associated with the role. Reports to the STIS Group/Area Operations Manager.
May work independently or with advisor servicing client accounts directly to consult clients and prospective clients with focus on analyzing goals, objectives and risk tolerance, to determine which investment products and services best meet the client’s needs and then sells those products and services as appropriate. Takes on additional Operations functions for the group as assigned by manager.
- Fully proficient in all brokerage desktop tools & procedures.
- Series 7, 63 and 65 (or 66) licenses.
- Minimum 4 years of experience in the securities industry.
- Strong customer service and communication skills.
- 3 years of direct experience.
- Sales related experience.
- Life and Health Insurance license