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SALES ASSISTANT I
Job Field: Office Jobs
Location: STANISLAUS CO, CA
Salary: $Not stated
Location: STANISLAUS CO, CA
Salary: $Not stated
JOB SUMMARY:
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<tr><td valign="top" width="450"><b>SALES ASSISTANT IJob ID: 2012-62315Site Name: CA-STANISLAUS CO-NORTH MCHENRYCategory: ..FLSA Status: NON-EXEMPTType: FULL TIME More information about this jobResponsibilitiesOVERVIEWThe central focus of this position is to provide direct assistance to the Investment Officers and their clients and sharing the responsibility of the securities trading function, assuring compliance with securities regulations and safe, sound banking practices.ESSENTIAL FUNCTIONS- Assist the Officer when opening new customer accounts on our computer system, assuring that all required information and documentation are provided and that the file is complete.- Open and sort incoming mail and interdepartmental correspondence. Includes sorting and filing of completed documents returned from clients and Investment Operations; maintaining a central file of all Mutual Fund and Annuity statements, resolving reason for returned mail items, and sorting and routing of Officer’s daily commission and activity reports.- Accept buy and sell orders over phone for Liquid Asset Account and Alliance Money Market Accounts. This includes verifying availability of money on sell orders and trading authority of person calling in trade.- Resolve purchases and sales related problems discovered on the Money Line Report from the computer system. Includes communication with Investment Officers and Investment Operations to discover error and follow-up to insure the resolution.- Administration of retainage/escrow accounts, including preparation of agreements, new account documents, receipts and disbursement as directed by authorized party.- Assist Investment Officers with the preparation of sales presentations and periodic reviews for clients which includes gathering appropriate support documents i.e., prospectuses and approved sales material.- Assist Investment Officers with documentation requirements, including transaction posting in client books, attaining proper documentation for any changes to an a client’s account i.e. settlement instructions for purchases and disbursements; address changes; account updates; and objective changes.- Provide back-up for other Sales Assistants in all aspects of their positions, within licensing constraints.- Maintain all sales material in ‘proper audit condition’. Includes attaining current prospectus for approved funds and discarding outdated prospectuses; attaining NASD approval letters on any sales material requested by Investment Officer, assuring only current material is in house; maintaining a supply of all sales material to ensure compliance.- For those Sales Assistants holding a Series 6 or 7 license, accept buy and sell orders for securities as well as answer customers’ questions regarding these securities. This includes giving quotes and discussing the specifics of different securities, complying with securities regulations and sound banking practices at all times.- Must use sound judgment in dealing with Investment Officers and clients. Assure that compliance with securities regulations and sound banking practices are followed. Alert manager of deviations from these regulations.QualificationsRequires 5+ years of experience in the securities industry. Sales support and brokerage is desirable.- For those accepting orders and discussing securities a Series 6 or 7 license is required.- Must exhibit strong attention to detail and high degree of accuracy.- Must demonstrate problem-solving skills.- Must be familiar with use of Lotus Smart Suite or comparable system. Ability to use PCs effectively, reading screens and operating keyboards.- Must have good verbal and written communication skills and background in application of current business English; knowledge of investment terminology a plus.- Organizational skills, ability to track and follow-up on multiple projects simultaneously.- Ability to handle sensitive information, confidentiality.- Ability
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<tr><td valign="top" width="450"><b>SALES ASSISTANT IJob ID: 2012-62315Site Name: CA-STANISLAUS CO-NORTH MCHENRYCategory: ..FLSA Status: NON-EXEMPTType: FULL TIME More information about this jobResponsibilitiesOVERVIEWThe central focus of this position is to provide direct assistance to the Investment Officers and their clients and sharing the responsibility of the securities trading function, assuring compliance with securities regulations and safe, sound banking practices.ESSENTIAL FUNCTIONS- Assist the Officer when opening new customer accounts on our computer system, assuring that all required information and documentation are provided and that the file is complete.- Open and sort incoming mail and interdepartmental correspondence. Includes sorting and filing of completed documents returned from clients and Investment Operations; maintaining a central file of all Mutual Fund and Annuity statements, resolving reason for returned mail items, and sorting and routing of Officer’s daily commission and activity reports.- Accept buy and sell orders over phone for Liquid Asset Account and Alliance Money Market Accounts. This includes verifying availability of money on sell orders and trading authority of person calling in trade.- Resolve purchases and sales related problems discovered on the Money Line Report from the computer system. Includes communication with Investment Officers and Investment Operations to discover error and follow-up to insure the resolution.- Administration of retainage/escrow accounts, including preparation of agreements, new account documents, receipts and disbursement as directed by authorized party.- Assist Investment Officers with the preparation of sales presentations and periodic reviews for clients which includes gathering appropriate support documents i.e., prospectuses and approved sales material.- Assist Investment Officers with documentation requirements, including transaction posting in client books, attaining proper documentation for any changes to an a client’s account i.e. settlement instructions for purchases and disbursements; address changes; account updates; and objective changes.- Provide back-up for other Sales Assistants in all aspects of their positions, within licensing constraints.- Maintain all sales material in ‘proper audit condition’. Includes attaining current prospectus for approved funds and discarding outdated prospectuses; attaining NASD approval letters on any sales material requested by Investment Officer, assuring only current material is in house; maintaining a supply of all sales material to ensure compliance.- For those Sales Assistants holding a Series 6 or 7 license, accept buy and sell orders for securities as well as answer customers’ questions regarding these securities. This includes giving quotes and discussing the specifics of different securities, complying with securities regulations and sound banking practices at all times.- Must use sound judgment in dealing with Investment Officers and clients. Assure that compliance with securities regulations and sound banking practices are followed. Alert manager of deviations from these regulations.QualificationsRequires 5+ years of experience in the securities industry. Sales support and brokerage is desirable.- For those accepting orders and discussing securities a Series 6 or 7 license is required.- Must exhibit strong attention to detail and high degree of accuracy.- Must demonstrate problem-solving skills.- Must be familiar with use of Lotus Smart Suite or comparable system. Ability to use PCs effectively, reading screens and operating keyboards.- Must have good verbal and written communication skills and background in application of current business English; knowledge of investment terminology a plus.- Organizational skills, ability to track and follow-up on multiple projects simultaneously.- Ability to handle sensitive information, confidentiality.- Ability
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