Licensed Sales Assistant
Licensed sales assistants are responsible for managing procedural and operational issues, communicating these issues through appropriate channels, and supporting the overall efforts of financial advisors, their institutions, and Cetera Investment Services. Find out more about the responsibilities and qualifications needed to become a licensed sales assistant with Cetera Investment Services below.
- Review each transaction for accuracy, completeness, and compliance issues.
- Maintain a record of all transactions processed by means of the control measures required by the company, i.e., daily blotter.
- Handle and correct transactions that are inaccurate or missing information. This should include any written and/or verbal communication with the financial advisor to resolve the problem, before the business is sent to the designated supervisor.
- Conduct ongoing training of the financial advisor on operational issues.
- Answer questions from the designated supervisor, sales manager, other program staff, bank management, other bank personnel, and clients.
- Maintain inventory of office supplies, marketing materials (excluding prospectus and point of sale literature from mutual fund vendors), new business forms, and business cards.
- Communicate reorder requests to the appropriate manager.
- Know status of all requested materials
- Process trades in a timely manner and forward them to the designated supervisor for processing.
- Assist in following up on suspended trades to resolve the problem(s) so the trade can be processed and forwarded to the designated supervisor.
- Prepare notes or cover memos to attach to new business for clarification on unusual trades and follow up on any unresolved issues.
- Know what has been processed and the status of each trade.
Financial Advisor Support
- Provide information on completing paperwork, i.e., how to set up new accounts, unusual trade documentation, changes to existing accounts.
- Provide clarification of program procedures.
- Providing employment and licensing paperwork to new financial advisor, reviewing it once complete, and forwarding it to appropriate individuals at the home office for processing.
- Attend all sales meetings.
Telemarketing and Prospecting Activities
- Assist the financial advisor with telemarketing and prospecting efforts.
- Call the existing customer base to develop new business and cross referrals.
- Deliver high degree level of customer service.
- Call supplemental lists to make appointments for the financial advisor.
Other duties as assigned.
- Current FINRA Series 6 or 7
- Life/health insurance licenses, or willingness to obtain within 30 to 90 days of hire
- Bachelor’s degree
- Strong interpersonal skills and the ability to work with a wide range of diverse bank personnel and customers
- Must be dependable and accurate in completing responsibilities with strong attention to detail and organizational skills
- Must exercise good judgment, accept responsibility, and handle confidential information