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Broker/Dealer - Sales Assistant

2 months ago

Carpinteria, United States PlanMember Financial Corporation Full time

As our PlanMember Sales Assistant, you will have an exciting opportunity to learn the securities industry while supporting our PlanMember Advisors. Supporting to our assigned advisors in the form of submitting new business, helping to process transfer ins/outs paperwork, and maintaining client account information. You will assist in day-to-day operations of one of our PlanMember Financial Centers or Financial Advisor. Performing tasks assigned by an advisor represents most of the responsibilities as a Sales Assistant. Sales Assistants will participate in the Securities Industry Training (“SIT”) program which will provide general securities industry training and prepare them for their job duties. Sales Assistants will be encouraged to obtain FINRA Series 63, 65 and 7 Licenses.


Salary Range:

Starting salary is typically between $52,000 and $57,000 annually, however, it is ultimately determined by the scope of the position the candidate's relevant experience, and internal equity.


Location: This position is located in our Carpinteira, CA headquarters


Upon completion of Securities Industry Training & Sales Administration, Sales Assistance will be assigned to Financial Advisors to be assigned various tasks for completion. Tasks vary at the discretion of the Advisor and include but are not limited to the following:

  • New account paperwork (PlanMember IRA, PlanMember trust, PlanMember joint, Direct Business)
  • Subsequent investments (PlanMember, Direct)
  • Death claim processing
  • "Not In Good Order", (NIGO). clearances for various account/product types
  • Sending client birthday cards
  • Updating client information and beneficiary information in CRM
  • Following up on transfers in/out
  • Trust paperwork
  • Contacting outside companies for client service needs, contract & commissioning information, rollover and account funding status

Additional Job Duties

Assist in recruiting onboarding activities, complete additional intermittent training sessions to expand personal capabilities and knowledge of PlanMember Financial Services.


Essential Job Function: This is NOT an Essential Job Function "Essential Staff" position.


If you have the following qualifications, we'd like to talk to you.

• Self-sufficient

• Problem-solving

• A solution-focused mindset that proactively detects issues and provides timely solutions

• Superb attention to detail with extensive experience multitasking and managing work independently while still functioning as a supportive team player

• ‘Customer First’ focused

• Proficient in MS Product Suite

• Takes pride in overall success of business and show a desire to assist Advisors in growing their business

• 4-year college degree (any major) or 4 years equivalent work experience

• Previous experience working in a office setting and/or financial is a plus