Requisition Number 19-1403 Post Date 11/14/2019 Title Registered Administrative Assistant City Monroe State MI Description
Position Goals:
Provides administrative, operational, sales and service support for assigned Investment Consultants within the First Merchants Investment Services Team.
Direct Management Received:
Under the general management of the Operations & Administration Manager, Investment Services.
Direct Management Exercised:
None
Essential Duties and Responsibilities:
Business Management
•Review and act upon items for attention from broker / dealer (Cetera)
•Monitor incoming and outgoing transfers
•Process death claims
•Assist with 1099s and other tax time issues
•Communicate and process client Required Minimum Distributions (RMD)
•Review of insufficient funds for periodic distributions
•ACH maintenance
•Manage and maintain client withdraw/ deposit requests
•Beneficiary updates/ personal information updates (with Cetera & Product sponsors)
•Cost basis information
•Filing client documents
Client Service
•Place unsolicited trades & securities received
•Complete necessary documentation to handle the processing of trades
•Meet with clients to obtain client and/or advisor signatures
•Establish online access to financial planning software or other pertinent websites
•Schedule client review appointments
•Handle phone calls & emails; respond appropriately to client needs
•Communicate with product partners on behalf of the client and/or Investment Consultant
Business Development
•Assist in preparation of documents for account opening, transfer of assets, etc.
•Annuity Net Order Entry (when applicable/ necessary)
•Review items for attention
•Establish ACH and or Periodic / Systematic deposit
•Scanning and submitting new account documentation (when applicable / necessary)
•Filing new account documents
•Assist in review of My Business Status
•Confirm all direct accounts are linked to Cetera accounts
Administrative Support
•Handle phone calls & emails; respond appropriately to internal/ external partners
•Assisting Consumer Bank Employees with FMIS client issues, referrals & setting appointments
•Maintain & Order Office Supplies
•Meet with advisor to review instructions when preparing to meet with new clients.
Operational Support
•Confirmation of daily ACH / settlements
•Processing and filing of monthly transmittals to Cetera Principal Review Desk
•Submitting marketing / advertising to compliance (business cards, stationary, signage, etc.)
•Process regional incoming / outgoing mail
•Maintain/ monitor check blotter
•Assistance in maintaining compliance of all required FINRA files and documentation
•Document all contact and actions taken with client in CRM
Knowledge, Skills and Abilities:
In addition to the list below, it is understood that all positions with the company require individuals who possess a pleasant and friendly attitude, project sensitivity towards customers and fellow employees, and maintain a neat and clean professional appearance. Core competencies have been identified as relevant to every position within the company and include: Ethics and Integrity, Listening, Business Acumen, Customer Focus, Approachable and Savvy, Action Oriented, Managing Time & Priorities, Work/Life Balance, Composure & Patience, Drive for Results, Self-Development & Knowledge, Dealing with Change, Decision Quality, and Informing.
Competencies:
Versatile Learner
•Welcomes learning opportunities and remains open to change
•Displays an eagerness and capacity to learn when faced with new situations and problems
•Learns quickly
•Experiments and tries new solutions
•Views new assignments as a learning experience and enjoys the challenge of unfamiliar tasks
Managing Time & Priorities
•Uses his/her time effectively and efficiently
•Focuses efforts on important priorities
•Accomplishes more tasks and assignments in less time
•Can attend to several priorities at a time
•Eliminates roadblocks and stays focused
•Plans daily tasks so important work is accomplished
•Uses workplace tools, technology or personal methods to keep track of priorities and assignments
•Prioritizes and works on multiple tasks effectively while maintaining high quality work results
Customer Focus
•Develops and nurtures internal and external relationships
•Responds quickly with accurate information or follow-up expectations
•Proactively seeks to understand concerns and perspectives of others
•Identifies solutions or products to meet internal and/or external customer(s) needs
•Lives our vision and deepens relationships within communities served through participation in philanthropic and civic activities
Organizing
•Can gather and use resources to get things done
•Can multi-task to accomplish goals
•Keeps information and files arranged to accomplish work Location Monroe HQ Work Hours Full Time Mon-Fri Requirements
Position Requirements:
Education - High school diploma or equivalent (GED).
Experience -Over one (1) year of administrative, clerical or related experience.
Experience utilizing a Contact Management System (CRM)
Licensing- FINRA Series 6 License- Investment Company and Variable Contracts Products Representative within 6 months of employment
FINRA Series 63 License- Uniform Securities Agent State Law within 6 months of employment
Other -Proficient with Windows based software, including MS Word, Excel, and PowerPoint
Preferred Requirements:
Licensing- FINRA Series 7 License- General Securities Representative
FINRA Series 65 License- Uniform Investment Adviser Law
FINRA Series 66 License- Uniform Combined State Law
•Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities.
•Please view Equal Employment Opportunity Posters provided by OFCCP here.
•The... For full info follow application link.
First Merchants Bank is an Equal Opportunity Employer and E-Verify participant (M/F/D/V).
