Part-Time Investment Sales Assistant (Remote - WA, OR, ID, CA)

September 6

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Description

• Responsible for supporting the sales and administrative activities of Financial Advisors within an assigned territory. • Manage incoming mail within compliance and regulatory standards. • Process client checks and manage bank deposits. • Assist in opening new accounts and managing existing account files. • Responsible for executing trades on behalf of the Financial Advisor, as necessary and receives and books certificates. • Assist in the preparation of annual compliance audits. • Maintain Customer Relationship Management (CRM) program for current and potential clients within assigned territory. • Responsible for ensuring adherence to Bank, LPL Financial and regulatory policies and procedures. • Responsible for using Bank tools and behaviors to drive production and exceptional customer service. • Maintain all licensing in good standing, completing continuing education courses as assigned by regulation and the Bank. • Responsible for complying with policies, procedures, security requirements, and government regulations.

Requirements

• H.S. Diploma: required (an equivalent combination of education and experience may be considered) • Series 7 and Series 63 preferred • Insurance license preferred • 4 or more years of administrative experience in an investment or financial services environment required • Ability to read, analyze, and interpret financial and credit information and governmental regulations. • Ability to work with mathematical concepts such as probability, statistical inference, fractions, percentages, ratios and proportions. • Ability to write reports, business correspondence and procedure manuals. Ability to effectively present information and respond to questions from groups of managers, clients and partners. • Proficient in MS Office products and a working knowledge of CRM software. • Ability to read, analyze and interpret general business periodicals, professional journals, technical procedures or governmental regulations. • Knowledge of federal and state laws and regulations relating to investment services.

Benefits

• Incentive potential • Comprehensive employee benefits, including: medical, dental, vision, LTD, STD and life insurance • Paid vacation time, sick time and 11 company paid holidays • 401k (with up to 4% match) • Tuition reimbursement up to $5,250 annually