Description

 

About the Role:

Provide administrative & operational support for one or more Financial Advisor(s) and serve as a liaison between Financial Advisor(s) and their clients. A sales assistant has a large influence on client satisfaction.

 

• Provide variety of administrative support, which includes answering incoming calls, organizing filing systems, coordinating schedules and prepare correspondence and documents.
• Relieve Financial Advisor(s) of a significant number of administrative details & duties.
• Complete forms and process daily business as necessary. Send various forms to clients as requested and required.
• Assist Financial Advisor with client support and time management.
• Process confidential information
• Open, maintain and service client accounts.  Follow-up on missing paperwork.  Process new accounts and files.
• Perform daily business processing to include department mail & processing checks and securities.
• Maintain client and mailing database.  Update Financial Advisor’s calendar.
• Service clients through researching and resolving problems.
• Provide quote information and mutual fund trade entry.   Equity trades can be entered by Series 7 licensed employees. Accept unsolicited mutual fund and money market investment direction from clients. Series 7 licensed employees provide limited decision-making investment decisions. 
• Coordinate and assist Financial Advisor(s) with client events by marketing, mailings, follow-up & assistance on day of event.
• Work with Operation’s Department for account maintenance and to initiate and update client instructions.
• Complete department projects through detailed involvement.
• Maintain client scanning system so records are accurate and complete.
• Balance settlement account & review trade blotters.
• Review and notify Financial Advisor(s) of new referrals.
• Send wires as requested by Financial Advisor(s) and clients
• Provide backup support to other Financial Assistants when necessary.
• Demonstrates compliance with all bank regulations for assigned job function and applies to designated job responsibilities – knowledge may be gained through coursework and on-the-job training. Keeps up to date on regulation changes.
• Follows all Bank policies and procedures, compliance regulations, and completes all required annual or job-specific training.
• Maintain a working knowledge of Bank's written policies and procedures regarding Bank Secrecy Act, Regulation CC, Regulation E, Bank Security and other regulations as applicable to this job description.
• May be asked to coach, mentor, or train others and teach coursework as subject matter expert.
• Actively learns, demonstrates, and fosters the Umpqua corporate culture in all actions and words.
• Takes personal initiative and is a positive example for others to emulate.
• Embraces our vision to become “Business Bank of Choice”
• May perform other duties as assigned.

 

About You:

• Bachelor’s degree or equivalent experience
• Minimum securities licensing of Series 7 & 63
• A minimum of 2 years’ experience as an assistant in the financial services industry or related field is required.
• Must be familiar with investment concepts and terminology, including investment vehicles, transaction types, and securities clearing system.
• Proficient in Microsoft Office Suite (Word, Excel, PowerPoint, Outlook)
• Must be a self-starter and work independently with initiative and limited supervision while working closely with clients and Financial Advisors.
• Must be able to prioritize and effectively manage multiple tasks at once.

 

Job Location: This posting is part of an evergreen requisition; we are actively seeking talent for current and upcoming opportunities in this market. While this requisition serves to build a talent pipeline, we currently have immediate openings and encourage qualified candidates to apply. We will reach out as positions become available in the following locations:  

Tacoma, WA

 

Our Benefits:

We offer a competitive total rewards package including base wages and comprehensive benefits. The pay range for this role is $20.00 - $30.00 and the pay rate for the selected candidate is dependent upon a variety of non-discriminatory factors including, but not limited to, job-related knowledge, skills, and experience, education, and geographic location. The role may be eligible for performance-based incentive compensation and those details will be provided during the recruitment process.

We offer eligible associates comprehensive healthcare coverage (medical, dental, and vision plans), a 401(k)-retirement savings plan with employer match for qualifying associate contributions, an employee assistance program, life insurance, disability insurance, tuition assistance, mental health resources, identity theft protection, legal support, auto and home insurance, pet insurance, access to an online discount marketplace, and paid vacation, sick days, volunteer days, and holidays. Benefit eligibility begins the first day of the month following the date of hire for associates who are regularly scheduled to work at least thirty hours weekly.

Our Commitment to Diversity:

Umpqua Bank is an equal opportunity and affirmative action employer committed to employing, engaging, and developing a diverse workforce. All qualified applicants will receive consideration for employment without regard to race, color, national origin, religion, sex, age, sexual orientation, gender identity, gender expression, protected veteran status, disability, or any other applicable protected status or characteristics. If you require an accommodation to complete the application or interview(s), please let us know by email: careers@umpquabank.com

To Staffing and Recruiting Agencies:

Our posted job opportunities are only intended for individuals seeking employment at Umpqua Bank. Umpqua Bank does not accept unsolicited resumes or applications from agencies and Umpqua Bank will not be responsible for any fees related to unsolicited resume submissions. Staffing and recruiting agencies are not authorized to submit profiles, applications, or resumes to this site or to any Umpqua Bank employee and any such submissions will be considered unsolicited unless requested directly by a member of the Talent Acquisition team.