Administrative Assistant

Mamaroneck, NY | Perm

Post Date: 09/18/2017 Job ID: 1-7144 Industry: Finance Pay Rate: $50K-$75K DOE

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.

DUTIES:

  • 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.
  • Prior experience in the securities industry required
  • BA/BS degree
  • Proficient computer skills (working knowledge of Microsoft Word, Excel, & Outlook/
  • Great organizational and problem solving skills, attention to detail a priority.
  • Personal assistant experience a big plus

 

Stamford Web Website


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