Franklin Synergy Bank
JOB TITLE: Registered Sales Assistant
DEPARTMENT: Trust and Investments
REPORTS TO: Wealth Management Executive
FLSA STATUS: Exempt
EEO JOB CATEGORY: Professionals
DATE PREPARED: October 20, 2003
DATE REVISED: 10/24/2018
The Registered Sales Assistant supports the organization's mission, vision and values by exhibiting the following behaviors: excellence and competence, collaboration, innovation, respect, personalization, commitment, accountability and ownership.
The Registered Sales Assistant provides complete support to the Registered Representative through customer service/operational issues to allow the Representative to focus on sales/clients.
PRIMARY DUTIES AND RESPONSIBILITIES include the following:
1. Reviews new account and ACAT paperwork received by Representative to ensure that all document information is included prior to processing.
2. Inputs mutual fund trades and money movers in accordance with all guidelines and regulations to limit trade errors and avoid monetary loss (no more than one per month).
3. Maintains existing customer account and activity files.
4. Supports Representative and clients by promptly answering phones and pleasantly answering/solving customer inquiries or service issues within 48 hours.
5. Provides tax documents and related information to clients and tax accountants as requested.
6. Assists in providing RMD information.
7. Calls in/enters equity and bond trades.
8. Meets with clients as required by Representative to obtain documentation signatures and/or resolve customer issues.
9. Recommends ways to improve the quality and delivery of services.
10. Maintains confidentiality of company, employee and customer information.
11. Reacts productively to change.
12. Recognizes and adheres to compliance with all bank consumer regulations and laws including those for consumer protection and the Bank Secrecy Act/Anti-Money Laundering Program.
13. Able to react to change productively and handle all other duties/essential tasks as assigned.
To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skills and/or abilities required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
EDUCATION AND/OR EXPERIENCE
High school diploma or GED is required; a minimum of five (5) years of sales assistant experience, preferably in a banking environment; must hold securities registrations.
Ability to lift/carry up to 10 pounds; ability to speak, hear, see, stand, walk, sit, climb, balance, stoop, kneel, reach and handle; ability to speak, read and write in English; excellent customer service skills; excellent telephone etiquette; good problem-solving, analytical and interpersonal skills; excellent written and oral communication skills; proficient in use of Microsoft Word, Excel and Outlook; ability to learn Raymond James system.
Position is in an office setting that involves everyday risks or discomforts requiring normal safety precautions.
Qualified applicants, please send resumes to me at firstname.lastname@example.org.