Administrative Sales Assistant (FT)

Job Title:

Administrative Sales Assistant Department:

Wealth Management Job Status:

Full Time FLSA Status:

Non-Exempt Grade:

7

Amount of Travel:

Some Travel Reports To:

VP, Wealth & Product Management Positions Supervised:

N/A POSITION SUMMARY

Under the general direction of the VP, Wealth & Product Management, the Investment Sales Assistant performs all daily tasks required for transactions related to the investment of client accounts located with the broker/dealer. The investment sales assistant must adhere to regulatory compliance standards at all times.

ESSENTIAL FUNCTIONS

Assists investment advisor representatives in processing and recording all transactions relating to client accounts on the Broker/Dealer operation system and in maintaining accurate reports on selected accounts not reported on the Broker/Dealer system. Initiates new account openings and prepares documents for signatures. Records product trade for investment advisor representatives' clients when needed. Assists with investment profiles and product placement process. Maintains files and prepares forms and records as required for client accounts. Maintains ongoing

SEC/FINRA

compliance standards by attending product educational and compliance meetings/seminars. Attends monthly departmental meetings and assists in coordinating client seminars and employee training. Provides bank-wide referral report to the payroll department for processing on quarterly basis. Prepares routine correspondence and is primary telephone liaison for incoming telephone communication to department officers and clients. Performs other clerical and investment-related functions as assigned. Must complete BSA, AML, and other Regulatory and Continuing Education as assigned. Must adhere to all bank and regulatory policies and procedures specific to position. Performs additional duties as requested

POSITION QUALIFICATIONS

Competencies Communication Customer Relations Dependability Ethics Job Knowledge Productivity & Time Management Education/Experience/Skills & Abilities Bachelor's degree or equivalent and a minimum of two years of financial services experience. Excellent PC skills, including Microsoft Word Excel & Access. Ability to interact effectively with co-workers, clients and management. Must be detailed oriented and highly organized and possess excellent oral, written communication skills and analytical skills. Demonstrate confidentiality and discretion with respect to all clients and firm information.

PHYSICAL DEMANDS

Physical Demands Lift/Carry Stand Occasionally 10 lbs or less Frequently Walk Occasionally 11

• 20 lbs Frequently Sit Frequently 21
• 50 lbs Occasionally Handling/Fingering Frequently 51
• 100 lbs Not Applicable Reach Outward Frequently Over 100 lbs Not Applicable Reach Above Shoulder Occasionally Push/Pull Climb Occasionally 12 lbs or less Occasionally Crawl Occasionally 13
• 25 lbs Occasionally Squat or Kneel Occasionally 26
• 40lbs Occasionally Bend Occasionally 41
• 100 lbs Occasionally N (Not Applicable) Activity is not applicable to this occupation. O (Occasionally) Occupation requires this activity up to 33% of the time (0-2.5+ hrs/day) F (Frequently) Occupation requires this activity from 33
• 66% of the time (2.

5-5.5+ hrs/day) C (Constantly) Occupation requires this activity more than 66% of the time (5.5+ hrs/day) Other Physical Requirements None Westfield Bank has reviewed this job description to ensure that essential functions and basic duties have been included. It is not intended to be construed as an exhaustive list of all functions, responsibilities, skills and abilities. Additional functions and requirements may be assigned by supervisors as deemed appropriate.