LICENSED SALES ASSISTANT

Finaltllc; Spokane (WA); On-site; USD 52,000 - 65,000; Full time

Job summary

Finaltllc in Spokane is looking for a licensed sales assistant to support a financial advisory team. You will receive non-solicited trade orders and execute them as instructed, and prepare client appointments and account reviews with reports and forms.

You will process new business and various checks, while handling maintenance requests like RMDs, withdrawals, and beneficiary changes. You will pend openings and manage electronic files, field client calls, and continually educate yourself on

Qualifications

• Must hold Series 6 license for mutual funds and VA products.
• Must hold Series 63 license to operate in state securities.

Responsibilities

• Receive non-solicited trade orders and execute them as instructed by the client and/or Financial Advisor.
• Prepare client appointments and account reviews (reports & forms).
• Process new business and checks (paper and DocuSign formats).
• Receive and process client account maintenance requests such as RMDs, withdrawals, journals, SRA, beneficiary changes, address/email changes, employer changes, death claims, etc.
• Pend all account openings, TOAs, PIPs, SWPs, RMDs, including case maintenance and electronic files.
• Field phone calls for client requests, questions, and problem solving.
• Continual self-education of tools and programs used in the office (OnceHub, ReadyDoc, Wealthscape, Salesforce, Quik!Forms, Office Suite, etc.).

Education

Series 6 (Mutual Funds & VA Products)

Series 63 (State Securities Exam)

Job description

After becoming licensed, the employee will have the ability to make trades when instructed by the finanical advisor. Employee can initiate money transfers and discuss account information with clients when requested.

Key Responsibilities:

• Licensed Sales Assistants have the ability to receive non-solicited trade orders and execute them as instructed by the client and/or their Financial Advisor
• Prepare client appointments/account reviews (reports & forms)
• Process new business and checks (paper and DocuSign formats)
• Receive and process client account maintenance requests such as RMD’s, Withdrawals, Journals, SRA’s, Beneficiary Changes, Address/Email Changes, Employer Changes, Death Claims, Etc.
• Pend all Account Openings, TOA’s, PIP’s, SWP’s, RMD’s, (this includes Case Maintenance, electronic files, blotters, as well)
• Field phone calls when needed for client requests, questions, and problem solving
• Continual self-education of necessary tools and programs our office uses (OnceHub, ReadyDoc, Wealthscape, Salesforce, Quik!Forms, Office Suite, etc.)

Qualifications:

• Series 6 (Mutual Funds & VA Products) and Series 63 (State Securities Exam)