JOB RESPONSIBILITIES/MAIN FUNCTIONS

Review account opening documentation making sure it complies with regulatory guidelines. Provide sales and products information to existing and prospect clients. Process fund distributions and asset movements. Work with internal departments and end clients in resolving service and operational matters. Provide information regarding internal procedures. Prepare ad hoc reports. Responsible for the day-to-day oversight of the sales process ensuring policies, practices and regulations are followed by the firm’s clients. Partners with key internal resources with the objective of identifying process improvement areas and/or efficiencies Provide other duties, as necessary Providing guidance to other team members and mentoring them by playing a lead role

.JOB REQUIREMENTS (EDUCATION AND EXPERIENCE)

Bachelor's degree in Business Administration, Finance, or related field. Minimum of 3 to 4 plus years of work-related experience. Series 7 is a plus. Bilingual in English and Spanish.

SKILLS AND CAPABILITIES

Client service focus with the ability to respond to requests in a timely manner. Strong analytical skills with high attention to detail and accuracy. Strong organizational, multi-tasking, and prioritizing skills. Good verbal, written, and interpersonal communication skills. Knowledge and understanding of brokerage systems or applications. Customer service attitude and proactive when issues arise. Ability to work under pressure

JOB SKILLS

Business Administration

Analytical Skills

Attention to Detail

Communication

English

Finance

Regulatory Guidelines

Spanish

Workload Prioritization

Career Level - IC2