Our client is an established banking and wealth management firm in Poughkeepsie.
They are seeking a Client Service Associate to join their growing team. This role is ideal for someone who values hands-on collaboration, professional growth and meaningful client relationships.
The Licensed Sales Assistant is responsible for processing and maintaining the workflow of all business pursuant to the investment aspect of the Broker Dealer. This position requires extensive organizational and communication skills with a strong understanding of compliance regulations. The position requires flexibility and the ability to adapt to the constant changing of rules and adhering to them.
Essential Job Functions:
· Review, distribute, and process all incoming mail.
· Process incoming checks.
· Process all Retirement Plan contributions for 401(k)
· Receive all new and existing business from Financial Advisors and review to ensure compliance standards are met
· Maintain all client files and records.
· Order office supplies.
· Assist advisors with scheduling, client reports, client materials and documentation
· Assist with the account opening process and proper documentation for accounts in accordance with industry and Osaic guidelines.
· Manage the process and implementation of client/prospect events.
· Prepare and process applications for new investment accounts and annuities and follow up on status.
· Monitor account transfers and communicate with client throughout the process.
· Prepare and review case status to ensure “in good order”.
· Handle various investment client service requests (distributions, address changes, etc.)
· Maintain various digital databases including client and employee contact info.
· Must possess and maintain an NYS Notary
Non-essential Job Functions:
· Other duties as assigned.
Other Qualification Standards:
1. Ability to safely and successfully perform essential job functions consistent with ADA, FMLA and other federal, state and local standards/requirements including meeting and qualitative or quantitative productivity standards.
2. Ability to maintain reasonably regular, punctual and regular attendance consistent with ADA, FMLA and other federal, state and local standards/requirements.
3. Compliance with all personnel policies and practices.
Education & Experience:
· Minimum – HS graduate; college degree preferred
· 2 to 3 years of relevant experience in the investment advisor industry.
· Series 7 and 66, Life Insurance
· Excellent verbal and written communication skills.
· Proficiency in Excel, Word, and Power Point
