Actively involved in supporting the Retail Financial Advisor(s) in the sales and service of investment, fiduciary, and insurance products through a full-service brokerage platform to (institution) and (non-institution) clients.
MAIN DUTIES OF THE JOB
Accountable for assisting in the achievement of designated sales revenue goals as determined by Sales Management. This is accomplished through customer contact, relationship building, ongoing development of sales, financial planning, referral source management, technical and interpersonal skills.
Responsible for thorough research and resolution of client inquiries.
Provides overall direction for activities related to administrative operations management.
Managing a very large volume of financial and other operational details with exceptional follow through, and ability to create systems to avoid mistakes.
Ability to report back in an efficient, systematic and timely manner to other staff on tasks completed, and next steps required.
Working with trading software, executing trades, and managing account transfers.
Advancing clients to next stage in sales process through written communication, reminders to other staff, and follow through.
Implements and monitors office policies and procedures to comply with federal and state regulations and ensures the firm's overall compliance with LPL/FINRA/SEC.
Additionally, assists in creating reports, follow-up communication, and departmental research in conjunction with adviser needs and ensures overall high-quality client service in the office environment.
Active role in solving operational problems and a strong role in branch operations systems in order remain compliant with LPL's policies and procedures.
Performs all other duties as assigned
WHAT WILL YOU NEED TO SUCCEED
Bachelor's degree in finance, accounting, economics, business administration or related field preferred but not required