Registered Assistant

Registered Assistant This person will have overall responsibility for delivering extraordinary client service, completing administrative office duties, and assisting colleagues as needed. It is vital that this person be a team player and be willing to assist in any tasks that may not be specifically mentioned in their job description. We want to allow all staff to be able to do what they thrive in and enjoy, so these job descriptions change over time, depending on the individual and office needs. We would like prospective candidates to be career oriented with the intention of long term employment. Basic Activities and Responsibilities Assist Advisors

• Reduce Advisors work load in circumstances that can be resolved without their direct involvement. Discuss, explain, or pass on client questions or concerns.
• Service client needs and requirements as determined through interaction. Following up as necessary and completing any documentation needed. (forms F450 and CRS)
• Closely monitor incoming assets and transfer requests to ensure tasks are set for them to be invested.
• Reach out regarding advisory inquiries or information needed from clients
• Create new account paperwork and process paperwork.
• Research "not in good order" issues that pop up from past oversights and tenaciously follow up until resolved.
• Complete miscellaneous spreadsheets and/or research projects (New/lost business, UTMA accts, Cash & Equivalents, etc)
• Generate investment or account reports from ClientWorks and Morningstar, etc. Service
• Greet clients and other visitors in a friendly and helpful manner, making them feel comfortable and cared for.
• Answer calls when needed to schedule appointments, answer general client inquiries, and process any changes or updates, as well as take messages to call clients back in a timely manner, recording all notes & activities in Redtail.
• Aid clients in filling out various forms and submitting to appropriate parties. Coordinate with clients throughout account opening and/or transfer requests.
• Pull client communication files for meetings if not already pulled for account forms update. Print/Bind reports, statements and research regarding accounts. Enter client meeting notes and follow up tasks in Redtail.
• Assist fellow employees and clients with general needs, requests, and inquiries.
• Following up on new accounts, prospect inquiries and schedule additional meetings.
• Assist in Account View maintenance: Create accounts, unlock, send activation links, etc. Help clients navigate through Account View.
• Coordinate selection and distribution of client's gifts and cards. Maintain Non-Cash compensation log.
• Follow process for closed accounts and update Redtail accordingly, as well as maintain filing.
• Monthly RMD check to make sure clients get set up when they become of required age.
• Handle client's Move Money requests and follow up to make sure funds went out or were reviewed. Office Tasks
• Coordinate, complete, and distribute weekly meeting reports and monthly Retreat agendas.
• Marketing & Social Media content creation and management.
• Take FedEx overnights to drop off and pickup mail when necessary.
• Keep front office tidy: refill coffee supplies, rearrange literature, and clean when necessary (including cleaning cups used by clients).
• Decorate office throughout the year including holidays
• Assist with various data management and other operational needs of the office. Possible Other Responsibilities and Growth Opportunities
• Licensing for FINRA Series 7 or 65 securities registrations.
• Insurance licensing, if desired.
• Promotion to Financial Advisor, if desired.
• Potential partnership opportunities for the right person. Industry Qualifications and Experience
• At least 1 year of finance related or administrative office experience.
• Associate's or Bachelor's Degree in related field.
• Upon employment, licensing for FINRA SIE, Series 6, and 63 securities registrations will be a top priority to obtain to maintain employment.
• All of our Associates must sign a confidentiality agreement.
• Upon hiring, all of our Associates must be fingerprinted by local law enforcement to meet federal and state regulatory requirements. Knowledge, Skills, Abilities, and Background
• Excellent verbal, written, presentation, and interpersonal communication skills.
• Must maintain professional appearance and demeanor at work and in the community.
• Demonstrated involvement in community and social networking.
• Excellent relationship management and business development skills.
• Team mindset, positive attitude, and a desire to learn are a must.
• Excellent organizational and time management skills.
• Must be comfortable working with high income and high net worth clients.
• Must be absolutely honest and trustworthy, as our clients' trust is our most valuable asset.
• All of our Associates must sign a confidentiality agreement. Hours
• Monday - Friday 8am-5pm. Hours can be somewhat flexible and include a 1-hour lunch. Salary and Benefits Paid weekly on Mondays. Start date dependent on candidate, the sooner the better preferred. Opportunities for growth and advancement based on employee dedication and interest.
• We offer a friendly and cooperative working environment, with many opportunities to learn new skills and build personal net worth.
• We provide a

SIMPLE IRA

plan, and match employee contributions on a dollar-for-dollar basis up to 3% of compensation.

• We offer traditional paid vacation and sick leave, in addition to being closed on all Federal Holidays.
• We provide securities industry training, resources, and licensing.
• We do not offer group or individual health insurance, but we have an Aflac Benefits Packages available at 50% cost to the employee.

Job Type:

Full-time Pay:

$37,440.00 - $46,800.00 per year

Benefits:

Paid time off Professional development assistance Retirement plan Application Question(s): Are you looking for long term, career oriented employment? Are you willing to study and obtain required FINRA licensing for career advancement? (All associated costs will be covered by employer) Please provide 2 professional references. (No contact will be made to any reference listed without prior notice.)

Education:

Associate (Required)

Experience:

Customer service: 1 year (Required)

Work Location:

In person