Investment Assistant - Tallahassee, FL

Capital City Bank Careers•Tallahassee, FL

5d•Onsite

About The Position

Investment - Capital City Bank - More than your bank. Your banker. Hours: Monday - Friday 40 Hours 8:00 a.m. - 5 p.m. General Summary Responsible for extensive research and fulfillment with regard to existing client inquiries and problems, providing back-up to Financial Advisor. Assisting clients with operational information pertaining to accounts and account set-up. Provides the operations functions for all Financial Advisors at Capital City Investments (CCI). All associates at Capital City Bank, Capital City Wealth, and Capital City Home Loans have access to confidential client information and must practice discretion at all times. Principal Duties and Responsibilities Note: Placing trades per client or Financial Advisor request can only be performed by a fully LICENSED associate. Licensed and Unlicensed associates will function in support of the department in addition to any primary Financial Advisor they may be assigned to support. All Investment Assistants will be called upon to support the department as needed. Daily Functions New account processing Perform required follow-up necessary to ensure account is in order and approved through Client Works. Create original file on Redtail for client and upload documents on LPL and Redtail. Set up electronic funds transfer (EFT) links Act as back up for opening accounts. Provide instruction on proper documentation required for various accounts as well as instruction on proper account registration. Mail new account documentation to clients for new and updating accounts. Perform required follow up on EFTs, wires and trades. Handling error correction through order desk, and researching items as needed. Forward completed information to Financial Advisor. Process incoming checks and securities and Uploading to Redtail under appropriate office for compliance. Including follow up on legal items, stock transfers, and verification of account notices. Process check requests, wire transfers, EFTs, and IRA distributions. Same day they are requested or when funds are available. (LPL cut off time 4:pm est.) Send overnights to LPL Financial Operations and vendors, as necessary. Read, understand, and disseminate any Operational bulletins that impact the functioning of the office. Return all client calls and emails by end of day they are received. Perform research and fulfillment with regard to existing customer inquires and problems. Process address changes for LPL Financial and vendor accounts. Act as back up for quotes, order entry, and account information when Financial Advisors do not have access to Clientworks, is with a client, on the phone, or out of the office. Process closed account on Client Works and update Redtail to closed Weekly Functions Proactively communicate with clients regarding all service needs, administrative requests, appointment/review scheduling, invitations, and to maintain overall client relationships. Routinely maintain current client resource management tools (i.e. Redtail). Assist Financial Advisor’s in creating a professional, secure and welcoming atmosphere. Follow up on all direct trade applications including verifying proper funds or sub-accounts, direct deposit of interest payments, proper IRA coding, PIP’s and SWP’s. Analysis of Client Works reports to eliminate debits, credits, and make Financial Advisor’s aware of opportunities. Verify that annuities are linked to active LPL accounts. Follow up on Client Works notification and TOA’s for Financial Advisors. Order necessary office supplies. Research undeliverable mail, maintain “lost client” statements for eventual abandoned property. Periodic Functions Follow up on firm element continuing education (CE) to be sure that Financial Advisors have completed. Reassign client’s accounts including LPL and vendor changes. At year end, assist in the successful completion of client required minimum distribution (RMD’s). Marketing Functions Introduction letters for new Financial Advisor’s. Assist with regular mailings including newsletters, CCI marketing pieces, and birthday cards. Order business cards, letterhead, and envelopes for Financial Advisor Coordinate special marketing initiatives including: Holiday cards/letters Thank you notes/letters Portfolio review letters Financial planning letters Education planning letters Product specific marketing. Assist in coordinating seminars and client appreciations. All associates must understand and adhere to the non-negotiable Banker Standards and commit to practicing SGNNT (smile, greet, name, name, thank you) at all times. Associates will consistently follow policies and procedures as established by Capital City Bank, Capital City Wealth, and Capital City Home Loans, with department managers setting the standard. Associated Duties Provides additional support to manager and department colleagues. Completes all assigned/required Bank & LPL training within established timelines.

Requirements

The following KSAs are usually acquired through post high school education with specialized business training course(s) and two to five years related experience:
Must enjoy client contact and developing productive relationships.
Proficiency in Word and Excel and an affinity for software programs.
Willingness to learn.
Employs sound judgement.
Exhibit an eagerness to assist sales people in increasing production.
Excellent communication skills, including verbal and phone.
Problem solving ability.
Demonstrates respect for co-workers and a positive attitude.

Nice To Haves

Previous experience in Banking, Investments, or other Financial Institutions preferred.

Responsibilities

New account processing
Perform required follow-up necessary to ensure account is in order and approved through Client Works.
Create original file on Redtail for client and upload documents on LPL and Redtail.
Set up electronic funds transfer (EFT) links
Act as back up for opening accounts.
Provide instruction on proper documentation required for various accounts as well as instruction on proper account registration.
Mail new account documentation to clients for new and updating accounts.
Perform required follow up on EFTs, wires and trades.
Handling error correction through order desk, and researching items as needed.
Forward completed information to Financial Advisor.
Process incoming checks and securities and Uploading to Redtail under appropriate office for compliance.
Including follow up on legal items, stock transfers, and verification of account notices.
Process check requests, wire transfers, EFTs, and IRA distributions.
Same day they are requested or when funds are available.
Send overnights to LPL Financial Operations and vendors, as necessary.
Read, understand, and disseminate any Operational bulletins that impact the functioning of the office.
Return all client calls and emails by end of day they are received.
Perform research and fulfillment with regard to existing customer inquires and problems.
Process address changes for LPL Financial and vendor accounts.
Act as back up for quotes, order entry, and account information when Financial Advisors do not have access to Clientworks, is with a client, on the phone, or out of the office.
Process closed account on Client Works and update Redtail to closed
Proactively communicate with clients regarding all service needs, administrative requests, appointment/review scheduling, invitations, and to maintain overall client relationships.
Routinely maintain current client resource management tools (i.e. Redtail).
Assist Financial Advisor’s in creating a professional, secure and welcoming atmosphere.
Follow up on all direct trade applications including verifying proper funds or sub-accounts, direct deposit of interest payments, proper IRA coding, PIP’s and SWP’s.
Analysis of Client Works reports to eliminate debits, credits, and make Financial Advisor’s aware of opportunities.
Verify that annuities are linked to active LPL accounts.
Follow up on Client Works notification and TOA’s for Financial Advisors.
Order necessary office supplies.
Research undeliverable mail, maintain “lost client” statements for eventual abandoned property.
Follow up on firm element continuing education (CE) to be sure that Financial Advisors have completed.
Reassign client’s accounts including LPL and vendor changes.
At year end, assist in the successful completion of client required minimum distribution (RMD’s).
Introduction letters for new Financial Advisor’s.
Assist with regular mailings including newsletters, CCI marketing pieces, and birthday cards.
Order business cards, letterhead, and envelopes for Financial Advisor
Coordinate special marketing initiatives including: Holiday cards/letters Thank you notes/letters Portfolio review letters Financial planning letters Education planning letters Product specific marketing.
Assist in coordinating seminars and client appreciations.
Provides additional support to manager and department colleagues.
Completes all assigned/required Bank & LPL training within established timelines.