Registered Associate
3 days ago
Tyler
Job Description Position Title: Registered Associate FSLA Status: Non-Exempt Reports to: Investment Services Program Manager or President – Southside Investment Services Job Summary: Supports the Financial Advisor and team with back-office processing and operations, promote and sell Nondeposit Investment products “NDIP” and services to the public under the direction of the Financial Advisor and in association with the Financial Advisor. Responsible for administrative office functions, sales support to the Financial Advisor and functions related to new business. Co-sells with the Financial Advisor through an integrated marketing program, including branch training, relationship development, individual and group presentations, direct-mail programs, follow-up calling and other client contact methods in coordination with the Financial Advisor. Initiates outbound phone calls, scheduling appointments for advisors, assists supervisor with office functions relating to marketing and compliance, responds to client service requests and maintains outstanding client service standards. Must be able to work effectively with other team members, clients and advisors. Essential Functions: • Handles incoming calls., • Interviews and counsels customers to obtain financial background and investment goal information needed to develop a customer profile and to assist in determining appropriate investment strategies under the direction of the Financial Advisor., • Remains thoroughly informed regarding NDIP and Bank changes in services, products and policies., • Cross-sells other Bank products and services to new and existing customers to generate new business., • Supports team on operational and client related issues., • Initiates, processes, and responds to client service requests., • Initiates outbound calls to clients (schedules appointments including client reviews, confirms appointments, responds to clients and communicates with clients on issues)., • Completes client meeting preparation, calendar and required client reports., • Processes new business and completes new business-related functions., • Opens customer accounts, maintains customer files and records in accordance with OSJ requirements and prepares all required reports., • Completes daily, weekly and monthly operational and technical tasks., • Initiates and confirms customer orders and places trades for Financial Advisor when requested., • Supports Financial Advisor and responds to Financial Advisor requests., • Clears compliance required maintenance., • Performs other work-related duties assigned by supervisor, senior management or Financial Advisors in the field., • Maintains all information relating to customer accounts and Bank affairs in strict confidence., • Maintains confidentiality of all sensitive Bank information., • Maintains a positive and caring atmosphere for customers and employees consistent with Southside Bank’s mission, CORE Values, and Blue Book culture guide., • Provides enthusiastic, professional, and courteous service to Southside Bank customers and employees., • Participates in proactive team efforts to achieve departmental and company goals., • Understands and agrees to abide by the policies and procedures established at Southside Bank., • Responsible for complying with audit policies and procedures as they pertain to this position., • Performs duties in compliance with applicable laws and regulations, including but not limited to the Bank Secrecy Act (BSA) and related anti-money laundering laws, and in accordance with the Bank’s Information Security Program., • Maintains a current understanding of stated procedures and policies, including regulatory compliance issues., • Utilizes and fully completes appropriate checklists., • Becomes cross trained in all department functions., • Participates in continuing educational courses, as required, through NDIP, the Financial Advisors Manager and mutual fund, broker/dealer and insurance company wholesalers., • Maintains NDIP Investment Center and display areas and handles public relations within branch locations., • Reads and understands NDIP Compliance Manual and remains current on all communications from NDIP Compliance Department., • Maintains a current understanding of stated procedures and policies, including regulatory compliance issues., • Complies with all safety policies, practices, and procedures. Report all unsafe activities to supervisor and/or Human Resources., • High school graduate: college degree preferred., • Currently holding series 7 and 66., • One-year previous office, financial, management and/or securities experience and direct sales experience is required., • Previous sales and service support in a banking environment is a strong plus., • Ability to build relationships with customers and branch personnel., • Detailed oriented with excellent analytical skills., • Excellent verbal, non-verbal and interpersonal skills., • Excellent organizational & time management skills., • Excellent attitude & an extraordinary client service orientation., • Ability to handle multiple tasks & operate on tight deadlines., • Self-motivated and self-reliant with a business appearance and demeanor., • Ability to read, analyze and interpret general business periodicals, professional journals, technical procedures or governmental regulations., • Ability to write information and respond to questions from groups of managers, clients, customers, and the general public., • Ability to calculate figures and amounts such as discounts, interest, commissions, proportions and percentages., • Ability to apply concepts of basic algebra and geometry., • Ability to define problems: collect data, establish facts and draw valid conclusions., • Ability to interpret an extensive variety of technical instructions in mathematical or diagram form and deal with several abstract and concrete variables., • Proficient personal computer skills including electronic mail, record-keeping, routine database activity, word processing, spreadsheet, graphics, etc., • Must be able to remain in a stationary position 90% of the time., • The person in this position needs to occasionally move about inside the office to visit other offices, conference rooms, office machinery, etc., • Constantly operates a computer and other office productivity machinery, such as a calculator, copy machine, and telephone., • Constantly positions self to operate on a computer., • Well-lighted, heated and/or air-conditioned indoor office setting with adequate ventilation., • Monday through Friday; 8:00am – 5:00pm.