Great opportunity for administrative professional with experience in financial brokerage office. Provide administrative & operational support to Financial Advisor in brokerage and family business. The position is required to maintain a high degree of confidentiality with respect to clients, FA, Branch, company and family information.
- Assist clients, process account forms, maintain account records, and prepare client correspondence.
- Provide professional, courteous customer service to ensure client satisfaction; maintain client relationship from start to end. Ensure that all appropriate account documentation is obtained and maintained. Inform clients/FA about missing paperwork in accordance with complex firm and compliance policies.
- Ensure adherence to all Branch, Firm & Compliance policies, procedures, rules & regulations; keep all branch files ready for annual and/or surprise audits.
- Review and file all communication/transaction blotters in the firm’s filing system. Reconcile trade orders with trade confirmations; keep trade confirmations in compliance with the industry regulations.
- Assist FA with all important information & activities related to client accounts & transactions to enhance the relationship between the FA and the client
- Review, complete and submit weekly/monthly/quarterly blotters (incoming and outgoing correspondence/gift/complaints/direct business/check receipt/ security receipt/NEC).
- Track office supplies and assist with ordering/upkeep of necessary supplies.
- Assist with Family Business; maintain Family Trust files, research and track ad hoc projects including personal and family projects. Occasionally run errands or manage projects for family or brokerage office business.