Financial Advisor Trainee - Raymond James

The Financial Advisor Trainee will provide client servicing assistance including trading when appropriate, clerical, organizational and administrative assistance to the Wealth Management, Raymond James and Trust Department of Union Savings Bank. This individual's career goal will be to eventually transition into a Financial Advisory role.

Administrative

• Greet clients and prospective clients on the phone and in the office in a professional and genial manner.
• Follow and fully support Quality Service Standards with customer service, written communications, telephone etiquette and customer service inquiries, both internal and external.
• Provide prompt assistance to clients with regards to answering operational and administrative questions, and in response to requests from clients for documents, forms, prospectuses, statements, etc.
• Establish new account files and maintain existing customer files in accordance with Wealth Management Department and Raymond James’ compliance requirements.
• Perform clerical duties including answering the telephone, faxing documents, filing, photo-copying and typing correspondence.
• Maintain office supplies and equipment for all financial advisors including: inventory management, ordering and arranging for repairs.
• Process all incoming mail.
• Maintain and actively update monthly sales and contact reports.
• Make outbound calls to obtain appointments and sales opportunities for Financial Advisors.
• Screen bank branch referrals for proper placement to Financial Advisors.
• Listen for new sales opportunities for Wealth Management and bank services in interactions with clients and prospects.
• Prepare new account or account servicing documents for accounts held through Raymond James or accounts held directly with a fund or insurer.
• Act as liaison for Financial Advisors and outside vendors for creating and servicing direct accounts or insurance products.

Compliance

• Maintain the Raymond James branch compliance files and stay current on compliance issues and updates issued by Raymond James.
• Assist with preparing for and responding to branch audits.
• Manage and maintain account linking function for Mutual fund and annuity assets held elsewhere.
• Remain current in all CE requirements including but not limited to RJ AML, OBA, and USB BVS assignments.
• Respond to RJ 'Action Required' alerts.

Account Maintenance

• Administer and process money receipts, and the disbursement of funds, including check disbursements, wire transfers, and ACH transfers for customers. This includes the processing RMD’s for clients’ IRA’s.
• Track all client interactions in Customer Relationship Management (CRM) system.
• Prepare client presentations and materials as needed by Financial Advisors.
• Update client files as needed.
• Manage and maintain account linking function for Mutual fund and annuity assets held elsewhere.
• Monitor and implement all procedural changes for compliance reviews.

Education

• Required: High School Diploma or GED or better.
• Preferred: Associates or better.

Experience

• Required 1-3 years: Administrative Assistant, Telemarketing, and Customer Service Experience.
• Required 2-5 years: Administrative Assistant, Telemarketing, and Customer Service Experience.

Licenses & Certifications

• Required: FINRA Series 66, Series License 63, Series License 7.

Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities. This employer is required to notify all applicants of their rights pursuant to federal employment laws. For further information, please review the Know Your Rights notice from the Department of Labor.