Securities Sales Associate
The Securities Sales Associate role will support Financial Consultants by managing and enhancing client relationships.
Successful incumbents are customer focused, able to work independently, have exceptional teamwork, planning and organizational skills, are creative and innovative as well as effective communicators and strong attention to detail and the ability to problem solve.
- Proactively contact current clients to inform them of the status of their investment and make recommendations at the direction of the Financial Consultant.
- Research and develop innovative ways to assist the Financial Consultant with the sale of new products and services in order to achieve desired sales goals.
- Research and resolve complex, sensitive client problems and questions as well as clients issues involving other bank departments.
- Create reports and generate information to assist with client meetings and sales initiatives.
- Ensure completion of all paperwork for client and create client correspondence/mailings as requested.
- Organize client files, maintain Financial Consultant's schedule and set up systems to assist Financial Consultant with regular follow up.
- Enter trades accurately and efficiently and prepare and process complex or unique transactions
- Organize and coordinate client seminars.
- Ensure that industry and firm rules and regulations are adhered to by following appropriate approval channels for all correspondence and marketing, copying and retaining all necessary documentation, maintaining accurate office logs and verifying the accuracy and completeness of all supporting documents.
- Back up other sales associates as required.
- Identify any issues regarding office procedures and escalate as appropriate.
- Participate in office or firm-wide initiatives as requested.
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