GENERAL FUNCTION: The Licensed Investment
Support Specialist II 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.
. Help with onboarding of Investment Executives, Wealth Management
Advisors, or Licensed Investment Support Specialists as
. Perform other projects or duties as assigned.
SUPERVISORY RESPONSIBILITIES: None.