Investment Advisory Associate

Position Title

Location

Job Summary

Job Responsibilities:

• →Support the Investment Group Director with broker-dealer, registered investment advisor and insurance business.
• →Complete sales and required route documents for processing/updating accounts, takes appropriate action when a debit occurs, track transfer of client assets.
• →Assure activity/account processing is in compliance with pertinent laws and regulations.
• →Ensures federal, state, insurance licenses are monitored/up to date.
• →Follow up on routine client correspondence and phone inquiries.
• →Maintains accurate and current customer records and branch files such as marketing, correspondence, etc.
• →Review all documentation in light of completeness and suitability.
• →Set up and track paperwork for client appointments.
• →Assists in the prospecting of new business and development of existing business for the Group Director.
• →Uses independent judgement and discretion to make decisions.
• →Analyzes and resolves problems.

• Performs special projects, and additional duties and responsibilities as required.
• Consistently adheres to regulatory and compliance policies and standards linked to the job as listed and complete required compliance trainings. Accountable to maintain compliance with applicable federal, state and local laws and regulations.

• Education level required: High School / High School Equivalency (GED, HiSET, TASC) / Foreign Equivalent.
• Minimum experience required: 2+ Years​ supporting investment advisors.
• Series 7 and 66 or equivalent.