Associate 2

The Associate 2 role is to support financial advisors and the NDIP team with back office processing and operations.   Responsible for administrative office functions, sales support to the financial advisors and functions related to new business.  Associate will initiates outbound phone calls scheduling appointments for advisors, assist supervisor with office functions relating to marketing and compliance, responds to client service requests and maintains outstanding client service standards.  The Associate 2 must be able to work effectively with other team members, clients and advisors.

MAJOR RESPONSIBILITIES

• Handle incoming calls
• Supports NDIP team on operational and client related issues
• Initiates, processes and responds to client service requests
• Initiates outbound calls to clients (schedules appointments including client reviews, confirms appointments, respond to clients an communicates with clients on issues)
• Completes client meeting preparation, calendar and required client reports
• Processes new business and completes new business related functions
• Completes daily, weekly and monthly operational and technical tasks
• Places trades for FA’s when requested
• Supports FA’s and responds to FA requests
• Clears compliance required maintenance
• Performs other work-related duties assigned by supervisor, senior management or financial advisors in the field
• Maintains all information relating to customer accounts and bank affairs in strict confidence

OTHER RESPONSIBILITIES

·         Maintains a current understanding of stated procedures and policies, including regulatory compliance issues.

·         Utilizes and fully completes appropriate checklists

·         Becomes cross trained in all department functions

EDUCATION, EXPERIENCE AND OTHER SKILLS REQUIRED

• High school graduate minimum

• One year previous office, financial, management and/or securities experience

• Detailed oriented with excellent analytical skills
• Excellent interpersonal skills
• Excellent organizational & time management skills
• Excellent attitude & an extraordinary client service orientation
• Ability to handle multiple tasks & operate on tight deadlines
• Self motivated, self reliant with a business appearance and demeanor
• Ability to perform repetitive functions
• One year previous office, financial, management and/or securities experience
• Knowledge of or licensed with NASD Series 6, 7, 63 a plus