Registered Representative

Scope of Job:

Manages office operations and procedures for the Investment Services office without supervision. Ensures efficient processes and procedures for the execution of transactions, client services and Registered Representative II support. Coordinates marketing/sales efforts with the Registered Representatives, BankWest marketing department and Woodbury marketing services. Provides support for the business of the Registered Representatives and Registered Representative II by providing customer service, retention, sales, support and customer care functions in a proactive and lead role.

Must be highly organized, enjoy multi-tasking, and have the ability to change priorities quickly as time-sensitive needs arise. Ability to meet critical deadlines is expected. This position must have great attention to detail and strong follow-up skills.

Primary Duties:

Manages execution of all client transactions and services. Meets with clients, develops and enhance customer financial relationships through a proactive financial check-up and CRM (top-tier) program and through development, coordination and execution of marketing / sales efforts focused on both prospective and existing customers.

Manages workflows and procedures for efficient use of the CRM system (Redtail). This position is responsible for the consistent accuracy of all client information in the CRM platform and for the office compliance with FINRA directed processes and procedures. Completes Copytalk notes and assigns and completes activities as assigned.

Research and analyze situations, provide recommendations for client account proposals. Meets with clients and presents research and proposals. Prepares necessary documents for client meetings, including but not limited to Morningstar reports, Retire Up presentations and investment management proposals.

This position will manage new account opening and closing processes for client accounts that have they have opened with new and existing clients. Manages follow-ups for new and existing client accounts. Provides financial services staff the status of every new and existing account in pipeline/process for the accounts that they have opened. Works without much supervision from Registered Representative II to assure all accounts are opened and closed accurately and timely.

Follow through on research requests and resolve problematic issues including account rejected service requests, commission corrections, Investment Services CRM and BankWest CRM systems for accounts that they have opened and are assisting Registered Representative II with.

Manages own book of clients as assigned in accordance with the terms of the governing instruments and in a manner consistent with BankWest retention plans.

Assist Registered Representative II with other projects as assigned. Including but not limited to revenue generating projects, CRM projects, report generation, BankWest 401k management and service requests.

Acts as the first back up for Registered Representative II phone calls and client walk-ins, responding accurately, friendly, prompt and enthusiastically to all customer inquiries and requests. Provide securities quotes and executes client orders. Maintain high level of customer service by being proactive in communicating with the clients, brokerage home office and third parties. Actively participate in ongoing efforts to improve customer service for internal and external clients.

Process all TR Prep and TRS inquiries from Broker Dealer on accounts for all Registered Representatives. May assist with maintaining annual RMD, revenue report and Investment Advisory spreadsheets. May assist with Registered Representative appointment calendar and calls clients proactively scheduling client meetings. May assist with pipeline, commission, OCC Report and BankWest CRM download.

Manages the office operations including creating, maintaining policies and procedures for office efficiency and workflow checklists for client accounts. Assists and develops Financial Services Support I, Financial Services Support II, and Registered Assistant positions.

Secondary Duties:

Work as a team with departmental counterparts on planning and implementing assigned projects and products.

Participate on various committees and project teams as deemed appropriate by management.

Attend, actively participate in organization, job specific training offered, and Quality Service programs.

Adhere to all applicable Policies and Procedures of BankWest organization.

Community involvement is strongly encouraged.

Other duties as assigned.

Requirements

Education:

A Bachelor's Degree in a related field.

Applicable experience and/or related certifications may be considered in lieu of degree.

Industry recognized license.

Industry recognized professional certification(s) and/or certificates.

Maintain Series 6 or 7 and Series 66 licenses.

Paraplanner designation preferred.

Experience:

5 years' experience in related field.

Knowledge and Special Skills:

Knowledge of BankWest products and services.

Knowledge of the brokerage industry.

Ability to work dependently and/or independently, under pressure, meet deadlines, and adjust work schedules as needed to complete job responsibilities.

Ability to organize and handle multiple responsibilities while delivering quality external and/or internal Customer Service.

Strong interpersonal skills to ensure effective communication with external and/or internal customers.

Knowledge or ability to learn regulatory requirements pertinent to performance of specified duties in job description.

Ability to skillfully use a variety of application software, learn computer programs, and comprehend the program output.

Adhere to Federal Privacy Standards in addition to following BankWest requirements for electronic communication and Social Engineering standards.

BankWest is a "Sales Organization" and all employees are expected to participate directly or indirectly with increasing BankWest's presence in their markets as appropriate.