Job Description and Requirements
The Non-Registered Sales Assistant performs administrative functions in support of financial advisors and the RBFCU Investment Group program. This includes but is not limited to client service, scheduling appointments, training branch staff and Marketing the RBFCU Investments Group program to credit union employees and Members.
Essential Functions and Responsibilities:
- Deliver superior service to clients, the organization and team members in a courteous and efficient manner. Present a professional image in all interactions, personally and professionally. Maintain a high degree of accuracy and accountability when processing tasks.
- Make out-bound calls to partner companies, prospects and clients to schedule or confirm appointments, obtain documents and information and communicate with other departments.
- Create and process forms, review packets and/or financial plans in preparation for meetings and process workflow for new and existing accounts with the broker dealer and investment/annuity companies. Follow up on tasks to ensure timely processing and proper completion of submitted paperwork/action items.
- Become proficient with and utilize RBFCU, broker/dealer and third party software to document activity (notes) and complete tasks.
- Assist with preparation, execution and follow up tasks for events such as training, seminars and other activities.
- Ensure all required account documents are acquired and updated.
- Issue and scan checks on behalf of depositor accounts.
- Sort, deliver and process incoming mail. Provide telephone coverage, create and distribute memos and correspondence, and manage calendars.
- Manage and maintain the proper storage of documents in the CRM or in secure files as required by compliance. Add notes, create calendar events and run system workflows in accordance with department procedures.
- Remain compliant with FINRA, SEC, the broker/dealer and other Self Regulator Organization or Federal regulations when working with clients, 3rd party Vendors, and other team members.
- Work efficiently, professionally and effectively as part of a team. Display excellent human relations skills and communication skills.
- All other duties as assigned (note: essential functions and responsibilities may change or new ones may be assigned at any time with or without notice).
Requirements:
- High School Diploma or GED
- Less than one year of job-related work experience
- Experience in a retail or customer / consumer facing environment
- Ability to engage with clients in person and via telephone
- Excellent organizational, administrative and service skills
- Proficiency in using basic computer software and office equipment, including computers, scanners and printers
- Ability to work independently
- Strong verbal and written communication skills
- Ability to effectively work on the telephone to engage clients and prospects to provide service, set appointments, confirm appointments, problem solve and obtain investment information
- Ability to manage multiple tasks simultaneously and prioritize work effectively
- Demonstrate good judgment, patience and propensity to solve day-to-day situations
- Experience with or ability to assist with seminars, make room arrangements, assemble packets, and confirm seminar attendance
- Must be available for occasional evening and Saturday hours
Preferred:
- Bachelors Degree
Skills and Certification/Licensing:
- Required to obtain the following license and FINRA registrations within 90 days of hire date: Texas State Insurance License, Series 6 and Series 63
All qualified applicants will receive consideration for employment without regard to race, color, sex, sexual orientation, gender identity, religion, national origin, disability, veteran status, or other legally protected status.