Administrative Principal - Beaverton, Oregon

Administrative Beaverton, Oregon


Description

ESSENTIAL DUTIES AND RESPONSIBILITIES:

Clerical/Administrative Support:

  • Responsible for the clerical/administrative support function in the office including answering the telephone, filing, copying, ordering supplies, etc.
  • Maintain supply room materials ensuring appropriate inventory and most current printed documents.
  • Receive visitors to the office in a professional manner and providing notification to appropriate individuals.
  • Arrange for meeting and/or catering needs as requested.
  • Coordinate resolution of issues pertaining to office operations (e.g. IT, office supplies and equipment, etc).
  • Review all incoming paperwork for completeness and accuracy before forwarding to manager, if appropriate.
  • Enter transactions into the appropriate blotters.
  • Print and/or review BOSS reports

 

Administrative Principal Responsibilities[1]:

All responsibilities under this category must be performed in accordance with the Compliance Manual and are ultimately the responsibility of the Branch Manager.

  • Reviews for suitability and approves transaction paperwork.
  • Handles Home Office inquiries/issues as they pertain to paperwork and the processing of transactions
  • Monitors Social Media communications for regulatory and firm compliance.
  • Reviews written and electronic correspondence for compliance with regulatory and firm requirements.
  • Reviews and approves blotter and order tickets – maintains Blottering process as required.
  • Handles the Do-Not-Call review
  • Maintains advertising and sales literature file.
  • Submits and follows up on U-4 amendments.
  • Play an integral role in the Office Inspection Program and quarterly reviews.

EDUCATIONAL REQUIREMENTS:

  • College degree and/or equivalent work experience.

EXPERIENCE AND BACKGROUND REQUIREMENTS:

  • To assume the Administrative Principal role, the individual must possess, at a minimum, the following licenses[2]:

-Series 6

-Series 63

-Series 26

  • The following FINRA licenses are required as part of the AP role and must be obtained in the following sequence:
-Life insurance license

-S7

-S24

-S65/66

-S51

  • Knowledge of FFS sales force and products and services preferred
  • Understanding of FINRA and other regulatory requirements and guidelines
  • Exceptional written and oral communication skills
  • Self–starter and highly motivated; critical thinker
  • Ability to ask probing questions
  • Strong analytical, organizational and follow-up abilities
  • Proficient in Microsoft Word and Excel

 

WORK ENVIRONMENT: (Office, production, warehouse, etc.)

Office 

PHYSICAL REQUIREMENTS:  (Lifting # of pounds, driving, installing equipment/cable, etc.)

None

[1] Licenses required: generally, a S6, 63, and 26 and life insurance license

[2] Foresters Financial will pay for the first two attempts at sitting for each exam. Subsequent exam fees will be the AP’s responsibility. To support the AP’s ability to successfully pass an exam, Foresters Financial will provide a one-time reimbursement per pre-licensing class. Classes must be pre-approved by Executive Sales prior to enrolling