Description:
The responsibility of this individual is to oversee the administrative personnel within the office. Leading, organizing and coordinating the operations and procedures under the direction of the CEO/Financial Advisor and the Business Manager.
Responsibilities and Activities:
Assists CEO/Financial Advisor
Monitors and maintains compliance-related issues / procedures
Maintain compliance manual / files
Assist in overseeing audits
Monitor contact management system to ensure notes are recorded
- Review Associate Advisors’ business applications
Reviews and oversees paperwork related to client meetings
Process new accounts
Process account transfers
Process new contributions and redemptions
Process beneficiary changes
Make final edits on customized recommendation letters and follow-up letters
Document client files /contact management system
- If necessary, prepare client files
Meets with clients to complete paperwork and answer questions
Joins Financial Advisor in occasional meetings with customers
Researches customer and Financial Advisors’ requests
Trade processing
Place trades and rebalance accounts
Review confirmations and record all trades
File or e-file appropriate documentation in client files
- Oversee all trades that are done in the office
Manages website and social media presence in coordination with the owners to ensure fresh content
Manages and delegates responsibilities for special projects
Monitors administrative staff
Develops and maintains written procedures and activities for all positions within the office
Expectations:
Constant communication with the office staff and Business Manager
Update staff on procedural changes
Completes top six lists daily and prioritize activities for next day or use the contact management program
Work week to average 45 hours
- Report to Tim Reis – CEO/Financial Advisor, Nancy Reis – Business Manager
Knowledge, Skills, and Qualifications:
Requirements:
Excellent knowledge of financial services industry’s rules and regulations
FINRA Series 7 and 63 along with Life and Health Insurance licenses
Excellent interpersonal skills
Excellent attitude and extraordinary client service orientation
Excellent analytical skills
Genuine interest in servicing and caring for other people
Excellent organizational and time management skills
Creativity
- Ability to handle multiple tasks and operate in tight deadlines
Detail-oreinted
Team Player
- Helpful:
- FINRA Series 65/66 licenses
- Previous supervisory experienence
Apply by completing our online survey and upload your resume by accessing the following link: http://www.cindexinc.com/c/2C44E8