Senior Affluent Market Sales Assistant

M&T Bank•Pittsford, NY

1d•$24 - $39

About The Position

Provides administrative and sales support to Registered Representatives (Financial Advisors) for a designated branch and/or region. The role supports customer relationships, sales activities, client onboarding, calendars, travel, reporting, audit and compliance processes, and sales-force operations. It also provides client service, assists with account and insurance paperwork, enters trades accepted by Financial Advisors, and accepts securities transaction orders directly from clients. The position is expected to follow the company’s risk and regulatory standards, internal controls, and brand values, and to complete other related duties as assigned.

Requirements

Associate’s degree and at least 1 year of sales and/or sales administrative experience; alternatively, a combined minimum of 3 years of higher education and/or work experience, including at least 1 year of sales and/or sales administrative experience.
FINRA Series 6 and/or Series 63 licenses.
State Life, Accident and Health (LAH) license.

Nice To Haves

At least 5 years of sales and/or sales administrative experience.
FINRA Series 7 and Series 99 licenses.

Responsibilities

Provide administrative support for customer relationships, including receiving and returning calls from existing or prospective clients to support follow-up and servicing.
Support sales activities, including audits, marketing materials, client onboarding, and related preparation and follow-up processes.
Gather or prepare sales materials for meetings and coordinate meetings and appointments to maintain business calendars for the sales force.
Coordinate travel arrangements, sales meetings, training activities and events, and customer seminars.
Assist in reviewing and processing paperwork sent to the home office.
Enter trades accepted by Financial Advisors into the appropriate system.
Maintain regular sales reporting on regional activity, including sales and referral activity updates.
Support audit and compliance processes and associated activities.
Facilitate ordering and processing of business cards, name plates, and computer access for the sales force.
Provide customer service to clients, including informing them of account balances and positions.
Assist clients with brokerage account documentation, Annuity/Insurance paperwork, and documentation for annuity withdrawals.
Discuss investments or investment products with clients and provide product-specific brochures or prospectuses when requested by a client or Financial Advisor.
Accept orders for securities transactions directly from clients.
Adhere to company risk and regulatory standards, policies, and controls; identify risk-related issues requiring escalation to management.
Promote an environment that supports belonging and reflects the M&T Bank brand.
Maintain M&T internal control standards, including timely implementation of internal and external audit points and applicable issues raised by external regulators.
Complete other related duties as assigned.