Job Description

Position Roles/Responsibilities/Accountabilities

Researches inquiries regarding client accounts
Provides fund values and answers other securities (including, if appropriately licensed, variable insurance and annuities) product-related questions and/or questions related to investment advisory services
Prepares or coordinates the preparation of routine correspondence, reports, and special projects typically of a routine nature
Manages financial planning program of the practice, ensuring written recommendations are created and delivered to clients on time
Manages quarterly update process of managed account portfolios, assists with trading as needed
Supports projects, administration of various programs, and processing functions as needed
Enters suitability information in Salesforce for new business applications
Manages account transfer process for rollovers, ACAT, and non-ACAT transfers from outside institutions
Assists Financial representatives in the preparation and follow up for the client/member meetings
Verbal or written communications with prospective or existing customers regarding financial matters
Conducting substantive research or information gathering that will be used with making securities product recommendations or providing investment advice (e.g. conducting due diligence, etc.)
Obtaining customer financial information
Accepting and/or entering securities trade orders from customers, including unsolicited trade orders
Explain, discuss or interpret insurance coverage; analyze exposures or contracts
Indicate to the customer that requested coverage is or will be bound or issued
Support questions and transactions with variable insurance and annuities products, if appropriately licensed
Manually enter the information provided by the FR into electronic application systems and email, lock sign or submit.
Additional responsibilities may be assigned in accordance with licensure and business needs

Position Qualifications

Demonstrated customer service orientation/experience, 2+ years preferred
Interest in or experience with the financial services industry preferred
Must be securities registered (series 7 & 66 or 6 & 63) or be willing to do so within 180 days of hire/contract.
Must be insurance licensed/appointed or be willing to do so within 180 days of hire/contract.
Strong technical computer aptitude and knowledge of business tools (e.g., Microsoft Word, Excel, Outlook, Salesforce, DocuSign) or ability to learn
Ability to handle multiple tasks and maintain a high quality of work while experiencing frequent interruptions
Ability to work independently, prioritize tasks, and self-direct to meet deadlines
Ability to maintain the integrity of sensitive/confidential information
Ability to create drafts of financial planning recommendations

Competencies

Planning/Organization
Customer Focus
Communication
Interpersonal Skills
Teamwork and Collaboration
Adaptability/Flexibility

External/Internal Dependencies

Must be able to work with all roles of the Afton Union Financial Group
Must be able to represent the organization in work with external clients
Must be able to cultivate and maintain relationships with corporate home office staff