Sales Assistant - Investment Consulting

JOB SUMMARY:

Effectively support Senior Managing Director and be responsible for administrative aspects of the office.? Provide outstanding customer service.

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ESSENTIAL FUNCTIONS:

1.???????? Team with Financial Consultant to provide clients with daily maximum client service experience through pro active contact with clients to anticipate client needs.? This includes:? estimated tax payments, communication with tax accountants, annual IRA funding, IRA distribution, maximum use of firm?s Products and Services, process payment of mortgage payments and automatic fund transfers.

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2.???????? Responsible for taking client?s orders, entering trades, process trade corrections and maintain necessary files and records for compliance.? Journal of funds and securities among client accounts.? Maintain files on clients and products. Investigate and resolve operational problems. Pro active contact with clients to encourage new business and fuller use of firm?s services.

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3.???????? Manage new accounts process to make this paperwork intensive process as client-friendly as possible.? Ensure all required documentation for new accounts is obtained.? Review new account forms for accuracy and completeness.? Accurately enter new account and cost basis information, etc.? Manage process of transfer-in of new client securities, cash and annuities.?

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4.???????? Assist in marketing by providing technical support in developing presentation materials and performance measurement reports for technically advanced accounts.? Coordinate business development events.

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5.???????? Prepare quarterly reports for institutional and individual clients including asset allocation at 3 levels, market overview, Investment Policy Statement and Wealthcare status reports.?

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6.???????? Liaison with US Fiduciary representatives and third party wholesalers to obtain investment and product information and other research as needed.?

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7.???????? Review client billing for accuracy and provide periodic reports to clients.











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8.???????? Manage administrative issues, including:

Coordination of rent, facility, office maintenance, and cleaning/security issues

Maintain accurate files (Correspondence, Compliance, etc.)

Manage registration and licensing matters.

Review the monthly P&L to control costs, budget, and resolve discrepancies.

Perform all managerial duties delegated by Management.

Assist with compliance related supervision, to include review of compliance and legal reports, as delegated by Management.

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QUALIFICATIONS:

1.????? High school diploma, or equivalent, required.? A minimum of ten years experience with at least five of the ten years working with a Financial Firm.

2.????? Series 7, 63 and 65 Licenses required.

3.????? Thorough knowledge of modern office practices and procedures and the use of office machines and equipment. Sufficient skill in typing to complete 60 wpm accurately.? Ability to use MS Office and Outlook. Ability to navigate Internet.

4.????? Ability to establish and maintain effective working relationships with supervising personnel, co-workers, subordinates, business professionals, and the general public.

5.????? Ability to project a positive, professional, image to all team members.

6.????? Ability to communicate effectively orally and in writing.

7.????? Human relations skills to deal effectively with visitors/customers in person or on the telephone.