Employment Type:  Regular

Full/Part Time:  Full-time

Division:  Division Investment Advisors

Job Description:  GENERAL FUNCTION:  The Securities Licensed Sales Assistant provides sales support to registered securities representatives (e.g., Investment Executives, Sr. Investment Specialists, or Wealth Management Advisors), as well as executes trades. The Licensed Sales Assistant has a strong understanding of the brokerage industry, trading operations and the Bank's brokerage products. Work is performed under the supervision of registered securities representatives.  ESSENTIAL DUTIES & RESPONSIBILITIES: * Ensures that all assigned trading transactions are executed in a timely and accurate manner, and that all documentation is maintained to standards. * Assists in soliciting additional customers for registered securities representatives. * Has regular contact with clients regarding their accounts, under the supervision of a registered securities representative. * Executes orders for clients at the direction of the registered representative. * Opens new customer accounts at the direction of the Registered Representative. * Works with Banking Center or Private Bank personnel to increase sales and referral opportunities. * Handles various administrative functions for the registered securities representatives.* Performs various projects as needed. * Ensures that all trading activity complies with federal and internal compliance regulations and guidelines.  SUPERVISORY RESPONSIBILITIES:  None

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MINIMUM KNOWLEDGE, SKILLS AND ABILITIES REQUIRED:  * High school diploma or equivalent, college degree preferred. * Series 7 and 66, or 7, 63 and 65 required. * Strong understanding of the Brokerage Industry. Prior Brokerage experience strongly preferred. * At least 1 to 3 years of sales or operations experience. * Excellent communication and organizational skills. * Must be able to work independently with limited supervision. * Must be able to prioritize and effectively manage multiple tasks at once.

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