Client Specialist I

Simmons Bank•Nashville, TN

11d

About The Position

It's fun to work in a company where people truly BELIEVE in what they're doing! We're committed to bringing passion and customer focus to the business. Position Summary The Client Specialist supports two or more Financial Advisors and works to develop a partnership with their respective advisors to provide high quality customer service and achieve stated revenue and asset goals. Essential Duties and Responsibilities Pre-appointment preparation for Financial Advisors Post-appointment follow up/document processing for Financial Advisors. Review all paperwork for accuracy, completeness and compliance. Resolves paperwork and account issues with back office operations and clearing firm. Client service duties such as establishing new accounts, servicing existing accounts, and researching and resolving deficiencies in a timely manner. Answer incoming calls for Financial Advisors. Schedule appointments for Financial Advisors Preparing, editing and obtaining appropriate compliance approval on correspondence. Gather all materials as requested by the Financial Advisor for meetings and sales representations. Responsible for adhering to policies and procedures related to regulatory compliance requirements and firm requirements. Process check and security receipts. Process Annuity and 1035 exchange paperwork. Maintain and update CRM as needed.

Requirements

Solid knowledge of Retirement accounts and regulations.
Knowledge of banking and investment products required.
Ability to read and interpret documents such as procedure manuals, general business correspondence, and/or journals, or government regulations.
Excellent time management skills with the ability to prioritize
Excellent written and verbal communication skills
Time Management
Attention to detail
HS Diploma/GED
2 years’ experience in financial industry preferred
Proficient in Microsoft Office
Adobe Acrobat
No License required however will be required to become licensed.
Ability to handle a high-stress environment.
Must display professional conduct and appearance.
Maintain client privacy and keep highly sensitive data confidential.
Must have excellent PC knowledge-proficiency with MS Office programs such as Excel and Word.
Communication
Time Management
Customer Service
Critical Thinking

Responsibilities

Pre-appointment preparation for Financial Advisors
Post-appointment follow up/document processing for Financial Advisors.
Review all paperwork for accuracy, completeness and compliance.
Resolves paperwork and account issues with back office operations and clearing firm.
Client service duties such as establishing new accounts, servicing existing accounts, and researching and resolving deficiencies in a timely manner.
Answer incoming calls for Financial Advisors.
Schedule appointments for Financial Advisors
Preparing, editing and obtaining appropriate compliance approval on correspondence.
Gather all materials as requested by the Financial Advisor for meetings and sales representations.
Responsible for adhering to policies and procedures related to regulatory compliance requirements and firm requirements.
Process check and security receipts.
Process Annuity and 1035 exchange paperwork.
Maintain and update CRM as needed.