Licensed Sales Assistant Position
Experienced financial advisor is looking for someone to assist with client service and manage
client experience. This independent financial firm has been in business for 17 years and has a
large client base that requires additional support.
Securities licenses Series 6 and Series 63 will be required. Additionally, Series 65 license is
preferred. These licenses are necessary to fully perform the functions of this position.
This position supports the financial advisor's practice by preparing reports, preparing financial
plans, processing transactions, interacting with clients and providing exceptional client service.
Duties include, but are not limited to:
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Answering incoming calls from clients and assist various service needs.
Provide client service by processing account forms; processing buy/sell authorizations,
deposits, and withdrawals; gathering information from clients as needed.
Provide additional service to advisor by preparing documents and reports, and
coordinating requirements with operations and office support.
Resolves client issues by providing information and explanations; responding to inquiries
and requests in a timely manner.
Prepare reports and supporting data for quarterly, semi-annual and annual review
processes.
Prepare financial plans to be delivered to clients.
Ability to help develop presentations and technology skills, a plus.
Attitude, trustworthiness and other positive personal attributes will be considered highly for this
position, as well as the ability to work well in a team setting and work towards common goals.
Problem solving skills and proactive client engagement is a must. Warm and friendly customer
service skills are a priority as this is the cornerstone of our practice.
For the right person, this position could naturally develop into a Junior Advisor role. It’s
certainly possible that for the right candidate, this position could be both – an assistant for our
advisor to service current clients, and the ability to perform in the Junior Advisor role as far as
cross selling in the advisor’s current book, and working additional leads as provided by advisor.
It just truly depends on the person, their abilities and ambition, and wants and desires for their
career.
If you are interested in this position, please send your resume, and any other qualifications to:
kim@shanehallfinancial.com