**Essential Duties and Responsibilities** • Services a high volume of daily interactions, including basic inquiries and scheduling of meetings, with prospective and existing clients on the phone, in-person, virtually and through mailings. • Works both independently and within a dynamic team environment to provide crucial support to the financial advisors and branch office. • With a high level of organization and accuracy, processes client financial transactions and financial advisor and branch office expenses and expense reports. • Opens new client accounts and researches client and security information using internal databases and other technologies. • For proper maintenance and to meet firm and industry requirements, ensures client paperwork and documentation is accurate and correct prior to submission and processing. Follows up to ensure accurate completion. • Prepares letters, forms and reports to assist with servicing existing clients and prospecting for new clients. • Prepares various business summary reports and client-specific reporting as needed for review by the financial advisor. • Creates and maintains records and files utilizing Client Relationship Management (CRM) software. • Assists Financial Advisors with marketing efforts including seminars and other client-facing events. • May enter orders at the direction of the Financial Advisor. • Actively engages in available training/cross-training and educational and/or professional development opportunities to remain current on firm and industry policies and procedures. • Performs other duties and responsibilities as assigned. **Qualifications - External** **Knowledge, Skills, and Abilities** **Knowledge of** • Company’s working structure, policies, mission, and strategies. • General office practices, procedures, and methods. • Investment concepts, practices and procedures used in the securities industry. • Financial markets, products and industry regulations. **Skill in** • Client Relationship Management (CRM) software, or similar contact management software. • Excel, including developing spreadsheets as needed and for ongoing reporting. • Effective communication across multiple client interactive platforms (in-person, virtual, phone and mail) **Ability to** • Operate standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases. • Analyze and research account information. • Organize, manage, and track multiple, detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced, task-oriented work environment. • Identify time sensitive items and assess competing priorities. • Take initiative and proactively follow up on submitted items to ensure completion; resolve errors, questions or concerns. • Handle stressful situations and provide a high level of customer service in a calm and professional manner. • Analyze problems and establish solutions in a fast paced environment. • Use mathematics sufficient to process account and transaction information. • Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels, in person and virtually. • Work both independently and as part of a cohesive team. • Provide a high level of customer service. **Educational/Previous Experience Requirements** **Education/Previous Experience** • High School Diploma or equivalent and one (1) or more years securities industry or related work experience preferred. • OR ~ • An equivalent combination of experience, education, and/or training as approved by Human Resources. **Licenses/Certifications** • None required