Investment Sales Associate

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Investment Sales Associate

@ JD Bank

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. o.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 and Experience:

• 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 www.jdbank.com/careers 

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