Specific responsibilities may include some or all of the duties outlined in the Associate Financial Representative (Registered) job description, as well as:

SUPPORT

·       Handling case notes, processing correspondence, maintaining client case files and filing performance reports, account forms and other advisory paperwork

·       Maintaining financial representative’s calendar, scheduling and attending follow-up appointments

·       Responding to home office account inquiries

·       Maintaining annual review notes in Envestnet and mailing annual review letters to clients

·       Monitoring and stocking marketing materials for Signature Portfolio advisory program

·       Monitoring industry trends and research

·       Ensuring NMIS Compliance requirements are implemented and followed

PROPOSAL AND CASE PREPARATION

·       Prospecting for new advisory clients on behalf of the employing financial advisor

·       Gathering information for financial advisor’s meeting with client/prospect

·       Preparing advisory annual review information

·       Preparing and modifying planning analyses and investment/advisory proposals

·       Preparing letter of instruction for client signature

·       Preparing investment policy statement, needs-based analysis or financial plan

·       Recommending fund portfolio options

Processing Accounts

·       Preparing and processing all paperwork needed for investment/advisory accounts

·       Processing and monitoring funding of advisory account and asset transfers to ensure selected asset allocation is implemented

·       Identifying need for switch letter and mailing appropriate forms to clients

·       Discussing potential rollover opportunities from other retirement plans for variable and mutual funds

·       Receiving and forwarding checks and related paperwork to investment operations area

·       Processing proposal amendments in Envestnet

·       Monitoring Envestnet for alerts and upcoming annual reviews

·       Administering advisory accounts according to program guidelines

Advisory Client Meetings

·       Meeting with advisory clients for fact finding and conducting existing advisory client reviews

·       Completing risk tolerance (personal profile) questionnaire with client

·       Making recommendations and modifying proposals and advisory accounts based on review meeting

·       Participating in client meetings for financial or investment plan development or presentation

Client Service

·       Corresponding with clients to handle advisory-related service issues

·       Contacting clients on behalf of the financial advisor to develop advisory plan and provide technical explanations of investment plan

·       Formulating advisory product solutions to/for a client or explaining advisory products or advisory performance

·       Accepting redemptions/withdrawals from clients and communicating instructions to home office

·       Discussing tax consequences, costs and advisory fees with client

·       Maintaining daily tickler system for account follow-ups and service requirements

·       Performing cashiering functions

·       Running performance reports in Envestnet, Morningstar and NMCIR

Qualifications:

·       Health and Life licensed or gain licensing within 6 months of employment

·       Financial Service or Insurance industry experience preferred

·       Associate Agent Contract required

·       Experience in administrative support or customer service, preferably in the financial services and/or insurance industry

·       Excellent oral and written communication skills

·       Familiarity with Microsoft applications and data entry and information retrieval software

·       Demonstrated organizational and time management skills and ability to multitask, set priorities and meet deadlines

·       Strong attention to detail with the ability to work with a high degree of accuracy

·       Ability to proactively identify what needs to be accomplished and take action as appropriate

·       Has interest in learning on a continuous basis

·       Ability to embrace change and work in a fast-paced environment

·       Ability to work both independently and in a team

·       Ability to maintain confidentiality

Benefits:

• Dental insurance
• Health insurance
• Vision insurance