The Senior Sales Assistant (SSA) is responsible for helping Senior Financial Advisors (primarily) and Financial Advisors (on a limited basis) increase production by performing support services so that the Financial Advisor can spend their time meeting with member-owners. This includes the service of member-owners and existing accounts, performance of clerical tasks, providing administrative, compliance and marketing support. The SSA strives to deliver an ever-increasing level of service and economic value to member-owners.
- Provides administrative and operations support to the Financial Advisor to include processing paperwork, processing transactions, gathering, and preparing information, resolving problems and other activities to help keep the Financial Advisor in front of member-owners. Ensures proper policies, procedures, risk mitigation activities, and operating controls are followed. Reports gaps in policies, procedures, and operating controls to leadership to ensure member impact and risk is mitigated. (30%)
- Assists member-owners via face-to-face and telephone service to answer questions and provide information. (30%)
- Coordinates the Financial Advisor’s appointment schedule through setting appointments and managing the member center referral system. (20%)
- Acts as lead sales assistant by providing guidance to sales assistance and operations support to the Division Manager and acting as the operations backup to the Division Manager. (10%)
- Acts as marketing coordinator for Financial Advisors. (5%)
- Coordinates regulatory compliance for the Financial Advisor through tracking and resolving compliance related issues. (5%)
Required Skills
The Senior Sales Assistant possesses the following knowledge and skills:
- Must have a high school diploma or equivalent or ten (10) years equivalent work experience.
- FINRA Series 7 securities license is required.
- FINRA Series 66 securities license is required within 6 months of employment into this position.
- Life, health, variable products insurance licenses in all states in which doing business desired within 6 months of employment into this position.
- Demonstrated ability to learn and comprehend financial planning concepts and financial services products.
- Demonstrated ability to learn and adhere to federal and state regulations/laws as they pertain to investment and/or insurance.
- Demonstrated ability to learn and utilize the necessary software to complete job functions.
- Minimum of three years previous experience in a financial institution, preferably with investments, or similar work experience is required.
Required Experience