Sales Assistant - Series 7 and 63 Required - Wealth Management Firm - Series 63 Required
Company Name:
PSI Resources
Job
Summary:
Under supervision, uses specialized knowledge and skills obtained through experience to provide pro-active support to financial advisors. Established procedures and prescribed guidelines are provided to perform a variety of tasks requiring minimal evaluation, originality or ingenuity in making routine decisions. Contribute to the increased generation of commission and fee revenue by maintaining and enhancing client relationships while assisting Financial Advisors with efficient, quality client service. Extensive contact with internal and external customers to identify, research, and resolve problems.
Responsibilities:
Interacts daily on the phone and in person with prospective and existing clients including handling basic inquiries and providing quotes.
May solicit orders from clients at the direction of the Financial Advisor.
Receives unsolicited orders from clients.
May enter unsolicited trades at the direction of the Financial Advisor.
Researches client and security information through the back office system.
Opens new accounts.
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 client information and creates reports using portfolio software programs.
Assists Financial Advisors with marketing efforts including seminars, mail outs, etc.
Receives and processes securities.
May provide investment advice on less active accounts for the Financial Advisor or for their own accounts.
Trains other Service Associates.
Receives cross-training and assists with other operational functions as required.
Performs other duties and responsibilities as assigned.
Qualifications
Knowledge of:
Investment concepts, practices and procedures used in the securities industry.
Financial markets and products.
Operating office equipment and using software applications to create correspondence, reports, electronic communication, spreadsheets, and databases.
Analyzing to be able to research account information.
Organize, manage, and track multiple detailed tasks 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 to process account and transaction information.
Work independently.
Provide a high level of customer service.
Educational/Previous Experience Requirements:
High School Diploma or equivalent and a minimum of five (5) or more years licensed securities industry service experience.
Licenses/Certifications:
Series 7.
Series 63 or Series 66
Estimated Salary: $20 to $28 per hour based on qualifications.
PSI Resources
Job
Summary:
Under supervision, uses specialized knowledge and skills obtained through experience to provide pro-active support to financial advisors. Established procedures and prescribed guidelines are provided to perform a variety of tasks requiring minimal evaluation, originality or ingenuity in making routine decisions. Contribute to the increased generation of commission and fee revenue by maintaining and enhancing client relationships while assisting Financial Advisors with efficient, quality client service. Extensive contact with internal and external customers to identify, research, and resolve problems.
Responsibilities:
Interacts daily on the phone and in person with prospective and existing clients including handling basic inquiries and providing quotes.
May solicit orders from clients at the direction of the Financial Advisor.
Receives unsolicited orders from clients.
May enter unsolicited trades at the direction of the Financial Advisor.
Researches client and security information through the back office system.
Opens new accounts.
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 client information and creates reports using portfolio software programs.
Assists Financial Advisors with marketing efforts including seminars, mail outs, etc.
Receives and processes securities.
May provide investment advice on less active accounts for the Financial Advisor or for their own accounts.
Trains other Service Associates.
Receives cross-training and assists with other operational functions as required.
Performs other duties and responsibilities as assigned.
Qualifications
Knowledge of:
Investment concepts, practices and procedures used in the securities industry.
Financial markets and products.
Operating office equipment and using software applications to create correspondence, reports, electronic communication, spreadsheets, and databases.
Analyzing to be able to research account information.
Organize, manage, and track multiple detailed tasks 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 to process account and transaction information.
Work independently.
Provide a high level of customer service.
Educational/Previous Experience Requirements:
High School Diploma or equivalent and a minimum of five (5) or more years licensed securities industry service experience.
Licenses/Certifications:
Series 7.
Series 63 or Series 66
Estimated Salary: $20 to $28 per hour based on qualifications.
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