Investment and Brokerage Management Assistant (full-time)

Investment and Brokerage Management Assistant

This Position Reports To: FVP, Trust & Investment Officer

PRIMARY ACTIVITIES AND RESPONSIBILITIES:


* Provide administrative assistance, clerical and client support to Wealth Management Group Officers


* Assist with creating/maintaining client presentations and reviews materials


* Assist in the preparation of new account proposals


* Assist Officers in accomplishing account documentation/retention duties/goals


* Assist with Annual Account and Investment Reviews (Reg 9 and Administrative Reviews)


* Manages routine client calls, sets appointments and obtains answers to client questions


* Willing to seek self-development by participating in available training opportunities, education and group/bank events


* Acts as interim representative servicing and supporting the retail investment / insurance business for the Bank


* Completes client paperwork including:
+ Prepare files for new accounts
+ Assure client documentation is completed and signed by customer
+ Post trades to trade blotter in client files
+ File client statements
+ Follow-up on any pending documentation
+ Handle any client information changes


* Recordkeeping of office activity including:
+ Complete activity reports of business conducted
+ Reconcile direct business to office weekly trade blotters
+ Reconcile trade tickets and confirmations
+ Follow-up on client service requests with Cetera and/or Fund Company


* Processing of daily business


* Maintain Cetera required copies of form and files


* Maintain Compliance approval log and follow-up as necessary


* With proper licensing:
+ Recommend and execute sale of all forms of Brokerage/Investment products that meet the suitability needs of the customer.
+ Assess clients’ investment situation, history, knowledge and needs
+ Recommend appropriate investment products
+ Contact customers to assess needs and make follow-up suggestions, as needed
+ Seek out additional potential clients through various channels


* Keep Bank management informed of the results of all regulator / broker dealer examinations and audits.

Report all concerns in a timely fashion


* Attend meetings and training sponsored by broker/dealer as directed


* Research and implementation of investment strategies


* Back up Operational duties as directed by manager


* Understands and complies with Bank mission, organizational structure, employee handbook, bank security, policies and procedures, standards of conduct and incentive program


* Knows where the CRA notice, statement and public disclosure file is located in the Branch and who the CRA Officer is


* Other duties as needed or assigned by assigned
 

 

MINIMUM REQUIREMENTS FOR POSITION:


* Business related Degree or equivale...