We seek a professional to support the productivity and activity of existing LPL Associate Financial Advisors, Financial Services Representatives, and/or Lead Financial Advisors; as well as helps to create efficiency. This person will also coordinate the marketing efforts of the Retirement & Investment Services program (RIS) in conjunction with the UnitedOne Credit Union marketing team and manages the back-office operations of the advisor.
Job Responsibilities:
List of general activities, duties and/or tasks typically performed within the job, but that may also be shared with other staff members:
Support advisor sales activities
-Execute on trade orders
-Process paperwork for annuities and life products
-Complete mutual fund trade tickets, place trades and monitor for settlement
-May engage in unsolicited trades or trades at the representative's direction only
-Assist advisor and members with sales paperwork
-setup draft accounts for members
-Run illustrations, assist in fund performance research and prepare client presentations for representative
-Contact client referrals to qualify and schedule appointments
Service support for members:
-Review submitted paperwork for accuracy and completeness; follow up with representative, client or home office to obtain necessary documentation.
-Assist with address changes, questions, account changes, beneficiary updates, etc.
-Serve as a primary source for members' service questions
-Establish and maintain files to meet compliance requirements
-Support LPL Compliance initiatives
-Maintain confidential member information by adhering to LPL's policies and procedures for data security and privacy
-Present and train staff at branch meetings
-Referral training
-LPL program training - training on what a broker/dealer is, how they operate and benefits they provide
Lead execution of marketing strategy, may include:
· Seminars
· Lobby days
· Direct mail or digital campaigns
· Meet and greets
· Call-out campaigns
· Other strategies as identified
· Delegate responsibilities to coordinator as appropriate
The above statement of duties is not intended to be all inclusive and other duties will be assigned from time to time. Plus, some of the above responsibilities that do not require licenses and registrations may be assigned to other staff.
List of general education, background and experience, knowledge, skills, and abilities typically required to effectively perform the responsibilities of the job. Also included are any required licenses and/or designations.
· FINRA Securities Industry Essentials Examination, Series 6 and 63 registrations are required
· FINRA Series 7, and 65/66 registrations may be required depending on business need
· Life, health, and variable insurance license
· Associate degree in business or marketing or equivalent experience
· Previous marketing experience preferred
· Working knowledge of brokerage and insurance products, terms, functions, suitability and compliance aspects
· Good customer service skills, as well as co-worker relationship skills
· Ability to perform multiple tasks while maintaining good organizational skills
· Ability to work under pressure and within time frames
· Self-motivated and able to perform tasks without supervision
· Comfortable working both face-to-face and over the phone with people
· Strong attention to detail
· Previous experience with SalesForce and proficient with Microsoft Office tools
For individuals new to this role:
-Have a satisfactory background check and securities registration with our licensed broker-dealer and/or verify all required insurance licensing.
-Have all outside business activity reviewed to ensure no conflicts of interest exist and applicable regulatory requirements are met
PIe19977dd01cd-30492-37048225
...Bonus eligible Your Role with the Company: Passionate Leadership: Lead the culinary team with a deep passion for food and hospitality, fostering an environment that prioritizes refinement and the integrity of ingredients while demonstrating strong leadership in...
...construction projects (electrical, plumbing, framing, drywall, painting, etc.) on machinery and within the facility as required. 3.... .... 6.Coordinate and oversee the supervisory personnel and subcontractors engaged in planning and executing work procedures, interpreting...
Job Description Location: Indianapolis and Southern Indiana Position Summary The Executive Account Manager (EAM) within Petcare is responsible for Business Development and Account Management in our largest volume, most complex and most influential strategic partners...
...life sciences, technology, and climate tech. Come join Oxylus Energy - A circular economy for a zero-emission Earth as a Research Assistant! About Oxylus Energy Oxylus Energy is a novel climatetech company focused on providing real solutions that can scale...
...Eastman Kodak is seeking an innovative and motivated Graduate student for our Electro-Chemistry Internship. We are looking for someone... ...excellent problem-solving and communication skills, and the ability to work collaboratively in a fast-paced research environment. If you are...