Investment Sales Assistant

Investments Brentwood, Tennessee


Description

Position Summary:

Responsible for administrative assistance in Financial Advisor (s) and Personal Financial Specialist (s) efforts in advising clients on Life Insurance, Annuity & Investment strategies. 

Essential Functions:

  • Coordinating Sales Activities: Assist Financial Advisor (s) and Personal Financial Specialist (s) in efforts to build and maintain client bases, maintaining records, answering calls, helping customers, and planning customer events.  Execute unsolicited trades under the protocol established by supervising Financial Advisor (s) and/or Personas Financial Specialist (s). All sales and trading activities to be performed at the direction of the Financial Advisor (s) and/or Personal Financial Specialist (s) and in compliance with securities and insurance licenses (if any) held.
  • Relationship Building:  Work with existing clients and prospects to foster relationships that facilitate the ability of the Financial Advisor and Personal Financial Specialist to build business. Working with the entire Investment Team. Always return every phone call and email by the end of the day, at least to acknowledge even if the task will not be completed that day. Assist in the training and development of relationships with FirstBank associates.
  • Customer Service –Customer Service – Responsible for fostering the FirstBank by treating every Customer respectfully, answering emails and returning phone calls within that business day even if task cannot be completed within the next day.  Set up voice email on office and cell phones based on LPL Compliance guidelines to not accept trades via voice mail.  

Standard

  • Results from secret shoppers
  • Bank or Investment management observations
  • No customer complaints.
  • Adhere to Policy and Procedures - Responsible for all compliance with bank policies, procedures, and operational integrity.

Standard:

  • No findings from internal audit
  • Must meet all required training (Bank and LPL)
  • No CIP violations
  • No compliance violations

Qualifications

To perform this job successfully, an individual must be able to perform each essential duty satisfactorily.  The requirements listed below are representative of the knowledge, skill and/or ability required.  Reasonable accommodations may be made to enable individuals with the disabilities to perform essential functions.  Required knowledge and skills in Language, Mathematical, Reasoning Ability and Computer.

Education and /or Experience

High School diploma or general education degree (GED); College degree preferred; minimum two years related experience.

Licenses

Series 7, 66 and state insurance license (Required for Position or Obtained within 12 Months of Hire to remain in position).  

Language Skills

Must have the ability to read and comprehend simple instructions, short correspondence and memos. 

Mathematical Skills

Basic math skills

Reasoning Ability

Ability to apply common sense understanding to carry out written or oral instructions. 

Computer Skills

To perform this job successfully, and individual should have knowledge of Database software; and Word Processing software.

FirstBank does not accept unsolicited resumes from agencies and staffing firms. Recruitment agencies and consultants may not submit resumes directly to managers. FirstBank will not pay fees to any third-party agency or company that does not have a signed agreement as an approved vendor. FirstBank in an Equal Opportunity Employer, including disability.