Licensed Sales Assistant

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

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