Licensed Invest Support Specialist II

Location: Largo
Posted on: October 19, 2024

Job Description:

GENERAL FUNCTION: The Licensed Investment Support Specialist II provides office management support for registered securities representatives (e.g., Investment Executives, or Wealth Management Advisors).

ESSENTIAL DUTIES AND RESPONSIBILITIES:

. Provide daily administrative support to designated registered representatives, and existing and potential clients.

. Provide guidance to the banking center partners as requested.

. Process and follow-up operations duties linked to new/existing accounts, risk management, marketing support, order entry etc.

. Perform account maintenance including opening new accounts, money transfer requests, executing orders, address changes, etc.

. Ensure that all assigned trading transactions are executed in a timely and accurate manner, and that all documentation is maintained to standards

. Maintain close contact with clients in order to ensure that they are informed about industry changes while providing the opportunity for additional products and services.

. Educate and coach business partners on current market conditions, products, compliance and operational duties.

. Support multiple registered securities representatives or representatives with very large books of business.

. Handle various administrative functions for the registered securities representatives including but not limited to executing trades.

. Ensure that all trading activity complies with federal and internal compliance regulations and guidelines.

. Work closely with Banking Center or Private Bank partners to identify cross sell and referral opportunities.

. Help with onboarding of Investment Executives, Wealth Management Advisors, or Licensed Investment Support Specialists as requested.

. Perform other projects or duties as assigned.

SUPERVISORY RESPONSIBILITIES: None.

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