Registered Administrative Assistant

First Merchants Corporation•Clarksville, IN

43d•Onsite

About The Position

First Merchants Bank is seeking a Registered Administrative Assistant to join our team! This position will provide administrative, operational, sales and service support for assigned Investment Consultants within the First Merchants Investment Services Team.

Requirements

High school diploma or equivalent (GED).
Over one (1) year of administrative, clerical or related experience.
Experience utilizing a Contact Management System (CRM)
FINRA Series 6 License- Investment Company and Variable Contracts Products Representative within 6 months of employment
FINRA Series 63 License- Uniform Securities Agent State Law within 6 months of employment
Proficient with Windows based software, including MS Word, Excel, and PowerPoint

Nice To Haves

Licensing- FINRA Series 7 License- General Securities Representative
FINRA Series 65 License- Uniform Investment Adviser Law
FINRA Series 66 License- Uniform Combined State Law

Responsibilities

Review and act upon items for attention from broker / dealer (Cetera)
Monitor incoming and outgoing transfers
Process death claims
Assist with 1099s and other tax time issues
Communicate and process client Required Minimum Distributions (RMD)
Review of insufficient funds for periodic distributions
ACH maintenance
Manage and maintain client withdraw/ deposit requests
Beneficiary updates/ personal information updates (with Cetera & Product sponsors)
Cost basis information
Filing client documents
Place unsolicited trades & securities received
Complete necessary documentation to handle the processing of trades
Meet with clients to obtain client and/or advisor signatures
Establish online access to financial planning software or other pertinent websites
Schedule client review appointments
Handle phone calls & emails; respond appropriately to client needs
Communicate with product partners on behalf of the client and/or Investment Consultant
Assist in preparation of documents for account opening, transfer of assets, etc.
Annuity Net Order Entry (when applicable/ necessary)
Review items for attention
Establish ACH and or Periodic / Systematic deposit
Scanning and submitting new account documentation (when applicable / necessary)
Filing new account documents
Assist in review of My Business Status
Confirm all direct accounts are linked to Cetera accounts
Handle phone calls & emails; respond appropriately to internal/ external partners
Assisting Consumer Bank Employees with FMIS client issues, referrals & setting appointments
Maintain & Order Office Supplies
Meet with advisor to review instructions when preparing to meet with new clients.
Confirmation of daily ACH / settlements
Processing and filing of monthly transmittals to Cetera Principal Review Desk
Submitting marketing / advertising to compliance (business cards, stationary, signage, etc.)
Process regional incoming / outgoing mail
Maintain/ monitor check blotter
Assistance in maintaining compliance of all required FINRA files and documentation
Document all contact and actions taken with client in CRM