Registered Wealth Sales Assistant

Old National Bank•West St Paul, MN

4d•$22 - $38

About The Position

Old National Bank has been serving clients and communities since 1834. With over $70 billion in total assets, we are a regional powerhouse deeply rooted in the communities we serve. As a trusted partner, we thrive on helping our clients achieve their goals and dreams, and we are committed to social responsibility and investing in our communities through volunteering and charitable giving. We continually seek highly motivated and talented individuals as our people are critical to our success. In return, we offer competitive compensation with our salary and incentive program, in addition to medical, dental, and vision insurance. 401K, continuing education opportunities and an employee assistance program are also included in our benefit suite. Old National also offers a variety of Impact Network Groups led by team members who are passionate about driving engagement, creating awareness of diverse backgrounds and experiences, and building inclusion across the organization. We offer a unique opportunity to join a growing, community and client-focused company that is firmly rooted in its core values. Old National Bank is looking to fill the position of Wealth Sales Assistant. The Wealth Registered Sales Assistant is responsible for providing administrative and sales support for assigned Wealth Advisors. The Sales Assistant enhances the client experience by providing exceptional client service, assisting in safeguarding client assets, and serving as administrative and operational support to Wealth Advisors. The Wealth Sales Assistant is responsible for understanding the policies and procedures that will enable them to interact with Wealth Advisors and prospective and existing clients. The Sales Assistant will perform a wide variety of functions independently, exercising confidential discretion and sound judgement in performing these duties. The Sales Assistant is involved in all phases of the client relationship and is experienced in handling complex accounts. The Registered Sales Assistant facilitates trades received from Advisors and Clients. This position will consider Unregistered Sales Assistants along with Registered Sales Assistants. The Unregistered can enter trades at the direction of the Advisor and cannot accept trades directly from clients. Were as the Registered Sales Assistant can facilitate trades received from Advisors and Clients.

Requirements

Associates or Bachelor’s degree preferred or 5+ year’s related work experience and related training.
Experience with Microsoft Office required; experience working with a CRM system preferred.
Experience in the securities industry and/or a sales assistant role.
Product knowledge - Has a thorough understanding of the investment industry and knowledge of products and services offered including the various advisory platforms
Knowledge of the securities market and brokerage accounts.
Series 7 and 66 required.

Responsibilities

Client Servicing, Administrative and Operational Support Interacts daily on the phone and/or in person with prospective and existing clients to respond to and resolve client servicing requests.
Assists Wealth Advisors in servicing clients, including taking trade instructions.
Learns and adapts to the service needs of various clients and accounts and responds promptly to requests and inquiries from clients and assigned Wealth Advisors.
Handles client outreach throughout the year including scheduling reviews, birthday and holiday mailings, seminar, and client event invites. and general correspondence.
Assists Wealth Advisors with general correspondence, answering and returning calls, and calendar management as needed.
May train others on products, services and related procedures, policies and technology.
Proactively identifies and assesses risk and gaps in adherence to policy and procedures.
Participates in identifying areas of concern and keeps management informed as needed.
Maintain Accounts and Documentation Submission Work within multiple technology platforms with a high level of accuracy in order to open accounts, process distribution requests, update accounts, and enter client trades and transactions.
Maintain a system for organizing annual reviews, ensuring advisory account requirements are met, and documenting meeting notes.
Work with outside vendors and the institution’s broker dealer to follow up on items in process, resolve account notifications, and research various issues on behalf of assigned Wealth Advisors.
Ensure new business documents are accurate and successfully submitted including preparation of forms, obtaining appropriate signatures, submission and follow up on new account documentation.
Accurately and efficiently completes tasks; double checks the accuracy of trades entered, new account forms, and all required documentation is in good order.
Risk Mitigation Follows strict compliance guidelines as set by broker dealer and follows all broker dealer/ONI policies and procedures.
Assists advisor(s) in preparation of branch audits.
Maintain branch compliance files and submits monthly correspondence for review.
Mitigates risk through appropriate authentication procedures and standards.