Licensed Invest Support Specialist I

Location: Bonita Springs
Posted on: January 26, 2023

Job Description:

GENERAL FUNCTION: The Licensed Investment Support Specialist I provides office management support for registered securities representatives (e.g., Investment Executives or Wealth Management Advisors).

ESSENTIAL DUTIES AND RESPONSIBILITIES:

.Provide daily administrative support to designated registered representatives, and existing and potential clients.

.Provide guidance to the banking center partners as requested.

.Process and follow-up operations duties linked to new/existing accounts, risk management, marketing support, order entry etc.

.Perform account maintenance including opening new accounts, money transfer requests, executing orders, address changes, etc.

.Ensure that all assigned trading transactions are executed in a timely and accurate manner, and that all documentation is maintained to standards

.Maintain close contact with clients in order to ensure that they are informed about industry changes while providing the opportunity for additional products and services.

.Educate and coach business partners on current market conditions, products, compliance and operational duties.

.Support multiple registered securities representatives or representatives with very large books of business.

.Handle various administrative functions for the registered securities representatives including but not limited to executing trades.

.Ensure that all trading activity complies with federal and internal compliance regulations and guidelines.

.Work closely with Banking Center or Private Bank partners to identify cross sell and referral opportunities.

.Perform other projects or duties as assigned.

SUPERVISORY RESPONSIBILITIES: None.

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