Securities Senior Sales Assistant
The Securities Senior Sales Assistant (SSA) role is a position providing operational and sales support to multiple Financial Consultants (FC's) within their individual businesses, as well as to support office initiatives. The SA role assists one or more Financial Consultants (FC) in a Retail, High Net Worth, or Institutional capacity.
Position Competencies
Successful incumbents are customer focused, able to work independently, have exceptional teamwork, planning and organizational skills, are creative and innovative as well as effective communicators and strong attention to detail and the ability to problem solve and multitask.
Responsibilities
This position holds responsibilities in 4 primary categories: Sales Support, Compliance, Customer Service, and Teamwork. Some of the primary responsibilities are listed below.
Assists with the opening and maintenance of client accounts and records.
Ensure completion of all paperwork for clients.
Provide accurate, timely and courteous responses to clients.
Organize client files and set up systems to assist Financial Consultant with regular follow up.
Research and resolve complex and sensitive client problems and questions.
Complete understanding of policies and procedures for firm and regulatory compliance.
Copy and retain all necessary documentation.
Maintain accurate office logs.
Back up other sales associates as required.
Identify any issues regarding office procedures and escalate as appropriate.
Participate in office or firm-wide initiatives as requested.
Demonstrate teamwork, cooperativeness, and positivity.
Follow appropriate approval channels for all correspondence and marketing.
Create client correspondence/mailings as requested.
Perform operational or administrative functions for client related requests (i.e., check request, wiring funds, address change, dividend information, etc.).
Enter trades as licensing and firm rules allow.
Position Qualifications:
Bachelor's degree from an accredited university or high school diploma with 4 years of Financial/Retail experience
Series 7 and Series 63 licenses required
Willingness and ability to obtain FINRA Series 66 or 65, and resident state appropriate insurance and annuity licenses
5 years customer contact experience
2 years of experience in investments/brokerage industry and securities regulations
2 years of Microsoft Office experience
Pinehurst
8:00am - 5:00pm Monday - Friday
Comerica is proud to be an Equal Opportunity Employer - veterans/individuals with disabilities, committed to workplace diversity.
