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
.Process and follow-up operations duties linked to new/existing
accounts, risk management, marketing support, order entry
.Perform account maintenance including opening new accounts, money
transfer requests, executing orders, address changes,
.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
.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.