CIC Registered Operations Specialist, Central Investment Center

Central Bank & Trust•Lexington, KY

24d•$72,109 - $90,137•Onsite

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About The Position

Provides sales support and administrative duties for the Financial Advisors of Central Investment Center.

Requirements

Bachelor’s degree or equivalent experience
FINRA series 7, 63 licenses (24 license preferred)
Life Insurance License preferred
Two+ years’ experience in brokerage industry
Strong work ethic
Ability to prioritize several tasks
Good planning and problem-solving skills
Excellent written and verbal communication skills
Dependability and accuracy
Strong problem solving, organization and time management skills
Commitment to customer service
Knowledge of investments required

Nice To Haves

FINRA series 24 license
Life Insurance License

Responsibilities

Assist all CIC Financial Advisors with daily sales support.
Assist Director of Investments with oversight duties, including trade reviews and approvals.
Process trade corrections.
Act as a liaison between the Financial Advisors and their clients while following FINRA guidelines as a registered sales assistant.
Provide telephone support for CIC Financial Advisors, schedule appointments, and prepare materials for client meetings.
Aid Financial Advisors in preparing client illustrations, graphs, charts, reports, etc. for registered representative presentations and appointments with clients.
Prepare and complete client paperwork and follow up tasks to support the Financial Advisors.
Assist with processing of business as levels dictate, including entering trades as instructed by a client or a registered representative on behalf of a client.
Conduct proactive outreach to clients and Financial Advisors on time sensitive activities (e.g. RMDs, Clients’ quarterly and annual reviews).
Spend time with clients on the phone, via virtual visits, and in person to ensure client service level needs are met.
Set client financial review meetings based on client service level agreement & prepare follow up meetings based on needs.
Process client requests for IRA and Preferred account distributions, including placing trades, where appropriate.
Assume ownership of inquiries and requests; communicate with internal departments to ensure client’s expectations for timely service delivery are met.
Handle mail and respond to email, as it relates to the processing of client requests.
Maintain compliance of operations as applicable to company, state and federal rules and regulations.
Maintain client communication notes in CRM while following internal standards in a timely manner.
Use the Raymond James back office support system for client accounts. Assist with obtaining new account numbers.
Provide backup for making daily deposits and input details on the Raymond James system, balancing both records.
Log daily account information, copy and fax to Raymond James for processing. Log incoming checks, copy and overnight mail to Raymond James for processing.
Maintain tickler file to submit requests in a timely manner and day-to-day follow through on requests.
Educate clients on account services, capabilities, and new technology.
Complete required corporate training on new technologies and follow implementation guidelines.
Perform general administrative services and other duties as assigned.