Wealth Sales Assistant Unreg

Old National Bank•Eagan, MN

10d•Onsite

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.

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.
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.

Nice To Haves

Client retention and consistent execution of the client experience
Builds strong relationships and collaborates with Wealth Advisors and internal partners to execute on the client service model and client experience.
Proactively generates solutions to address complex problems.
Anticipates patterns and connections and looks beyond the immediate problem to the broader implications.
Balances administrative, client, and technical responsibilities while prioritizing value-added work.
Mitigates risk through adherence to policies, procedures and regulatory requirements; completes all compliance requirements including satisfactory branch exams
Earns the trust and confidence from Wealth Advisors and clients

Responsibilities

Provides administrative and sales support for assigned Wealth Advisors.
Enhances the client experience by providing exceptional client service, assisting in safeguarding client assets, and serving as administrative and operational support to Wealth Advisors.
Understands the policies and procedures that will enable them to interact with Wealth Advisors and prospective and existing clients.
Performs a wide variety of functions independently, exercising confidential discretion and sound judgement in performing these duties.
Involved in all phases of the client relationship and is experienced in handling complex accounts.
Facilitates trades received from Advisors and Clients (Registered Sales Assistant) or enters trades at the direction of the Advisor (Unregistered Sales Assistant).
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.
Works 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.
Maintains a system for organizing annual reviews, ensuring advisory account requirements are met, and documenting meeting notes.
Works 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.
Ensures 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.
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.
Maintains branch compliance files and submits monthly correspondence for review.
Mitigates risk through appropriate authentication procedures and standards.