Investment Sales Associate

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Investment Sales Associate

@ JD Bank

This position will also assist in performing, monitoring and documentation of various functions and responsibilities required by the bank. Certain responsibilities are dependent upon the location and whether or not a junior broker is assigned to the team.

Essential Duties and Responsibilities:

Primary:

- Processing:

• Maintain records of all transactions processed by means of the control measures required by LPL Financial
• Answer questions from the Office of Supervisory Jurisdiction (OSJ – Designated Compliance Supervisor), Financial Consultant, Program Manager, Sales Manager, other program staff, bank management, other bank personnel, and clients.

- Office Administration:

•  Maintain inventory of office supplies, marketing materials, new business forms and business cards/brochures
• Assist in the following up on suspended trades to resolve the problems so the trade can be processed and forwarded to the OSJ
• Process all paperwork of new accounts opened
• Organize and maintain all client files
• Check and respond to all voicemail and email daily
• Open incoming mail and handle or distribute accordingly
• Maintain all required compliance items in central file
• Manage and maintain client complaint file
• Attendance at sales meetings when required
• Manage and maintain Client Contact Management system daily on new and existing clients
• Prepare and mail out client correspondence.
•  Follow up with clients to verify receipt of their Product Prospectus and New Account Disclosure
• Submit all marketing and advertising materials for approval and maintain them in necessary file for compliance
• Schedule and prepare customer seminars and customer appreciation events
• Assist Investment Executive in all day-to-day brokerage activities.

Other Duties and Responsibilities:

• Possess and maintain a solid knowledge of products
• Follow all policies and procedures of JD Bank
• Support and promote team spirit
• Offer assistance to employees within the bank that may be assigned by Management and the supervisor. These will include greeting bank customers as they enter the premises
• Attend JD Bank staff and employee meetings as assigned
• Follow the bank’s security procedures
• Offer suggestions to the program manager and Financial Consultant to improve on the program
• Perform other duties, work overtime, attend training, and represent the company after hours at related functions as requested by supervisor
• Maintain client and department confidentiality
• Able to travel to various branches/locations
• Adherence to and support of all compliance and BSA/AML rules and regulations related to this job function
• Performs other duties that may be assigned by Management.

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Qualifications:

Education:

• High school diploma or general education degree (GED)
• Five years of experience within a financial business environment
• Business degree from a technical school and/or college are helpful
• On-going attendance and involvement with LPL Financial training sessions are required, including online trainings.

Preferred Skills:

• Must be organized and possess the ability to maintain organization in the office and with the Investment Executive
• Handle multiple tasks and changing priorities simultaneously in an effective manner to meet deadlines
• Intermediate understanding of MS products, and/or any other industry specific software
• Well-organized, efficient, detail-oriented, self-starter, able to work independently and as a member of a team
• Must respect the confidential nature of information received in the performance of duties and be able to render impartial and unbiased judgments
• Must possess strong telephone etiquette
• Excellent oral and written communication skills
• PC skills, to include word processing, spreadsheets, and presentation/graphics software
• Strong interpersonal skills
• Experience at operating a computer, typing/word processing, ten key number pad, printer, fax machine, and copier.

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How to Apply:

Apply online at http://www.jdbank.com/careers 

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