Registered Service Assistant

• Company

  GTE Financial

• Location

  USA-FL-Tampa

• Remuneration

  Competitive

• Position Type

  Permanent

• Employment type

  Full time

• Updated

  29-Oct-2013

• eFC Ref no

  1298084

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Provides general clerical and sales support for one or more Registered Representatives. The position relies on experience and judgment to plan and accomplish sales goals associated with the Registered Representatives. Performs a variety of task as well as works under general supervision.

Essential Functions:

• Assist representatives with client servicing issues (address changes, questions on acct., account changes). Screen phone calls for the financial advisors and handle client questions and servicing issues RSA is qualified to handle. Be a second resource for clients.
• Complete mutual fund trade tickets, place trades, and monitor for settlement.
• ·Process paperwork for annuities and life products.
• Assist with the Credit Union referral process; set, confirm, and follow-up with appointments for the financial advisors.
• Review all submitted paperwork for accuracy and completeness before submission. Follow up with rep, client, insurance company or broker/dealer to obtain necessary documentation.
• Set up member accounts and monitor trade activity for accuracy.
• Establish and Maintain client files to meet compliance requirements.
• Assist in marketing, mailings, branch promotions, seminars, etc.
• Run illustrations, assist in fund performance research, and prepare client presentations for Representative.
• Monitor Representative's office for any marketing material, office supplies, or compliance material needs.
• Must demonstrate a functional knowledge of the Bank Secrecy Act in addition to other Federal laws, including but not limited to:  U.S. Patriot Act, Office of Foreign Assets & Control, Anti-Money Laundering, Right to Financial Privacy Act, and the Bank Bribery Act.
• Miscellaneous duties as assigned.
• SKILL REQUIREMENTS
  
  • FINRA Series 7 and Series 65 or 66 licenses.
  • Working knowledge of brokerage and insurance products, terms, functions, suitability, and compliance aspects.
  • Microsoft Word or comparable word processing experience.
  • Excel or comparable spreadsheet experience.
  • Strong customer service skills as well as co-worker relationship skills.
  • Experience transitioning service requests into sales opportunities.
  • Ability to perform multiple tasks while maintaining good organizational skills.
  • Ability to work under pressure and within time frames.
  • Self-motivated and able to perform tasks without supervision.
• EDUCATION/EXPERIENCE REQUIREMENTS
  < >FINRA Series 7 and Series and 65 or 66 licenseUndergraduate degree required. Three or more years of Investment Services or Insurance Services experience.  GTEFINANCIAL reserves the right to revise or change job duties and responsibilities as the need arises.
  

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