Financial Advisor Assistant

Location: Duluth
Posted on: November 20, 2024

Job Description:

Job Summary:

Under general supervision, uses advanced skills gained through training and experience to assist financial advisors and provide clients with quality service. Follows established procedures to perform routine tasks and receives general guidance and direction to perform other work with substantial variety and complexity requiring limited decision making responsibility. Routine contact with internal and external customers is required to obtain, clarify or provide facts and information.

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.

• May enter orders at the direction of the Financial Advisor.

• Receives and processes securities.

• Receives cross-training and assists with other operational functions as required.

• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities:

Knowledge of:

• Company?s working structure, policies, mission, and strategies.

• General office practices, procedures, and methods.

• Investment concepts, practices and procedures used in the securities industry.

• Financial markets and products.

Skill in:

• Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.

• Analyzing to be able to research account information.

Ability to:

• Organize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.

• Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels.

• Use mathematics sufficient to process account and transaction information.

• Work independently.

• Provide a high level of customer service.

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