Essential Duties and Responsibilities:
- Interacts daily on the phone and in person with prospective and existing clients including handling basic inquiries.
- Researches client and security information through the back office system.
- Processes and follows up on client documentation for proper maintenance of accounts.
- Prepares letters, forms, and spreadsheets to assist with servicing existing clients and prospecting for new clients.
- Creates and maintains records and files.
- Ensures required client paperwork is current with firm and industry requirements, rules and regulations.
- Maintains databases and creates reports using portfolio software programs.
- Assists Financial Advisors with marketing efforts including seminars, etc.
- Receives and processes securities.
- Receives cross-training and assists with other operational functions as required.
- Performs other duties and responsibilities as assigned.