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LPL Registered Investment Sales Associate

4 months ago

Golden Valley, United States Midwest One Bank Full time
Overview

At MidWestOne, our people are number one in everything we do. We are a community bank with a culture based on integrity and customer care. The people on our team are the foundation of our success. If you're ready to work for an organization that values you, develops your talents and helps you grow personally and professionally, then look no further.

Investment Service's Registered Administrative Assistant primarily assists financial advisors and clients with matters involving the servicing of client accounts and processing/building new business in their respective market.  The candidate must maintain files, prepare reports, conduct research, and deliver departmental communications to clients and co-workers.  They must have work experience in the industry and have obtained FINRA Registration through Series 66 (or 63/65).

Responsibilities
  • Works with clients, advisors, and administrative support in addition to internal bank staff as needed.
  • Determines and researches appropriate paperwork and process for advisor/client needs.
  • Communicates with clients, business partners, and internal staff through appropriate methods.
  • Maintains and updates client database, calendars, and compliance files.
  • Performs daily tasks including scheduling meetings, phone calls, and other duties as assigned.
  • Attends monthly team meetings virtually or in person as needed.
  • Serve as a go-to resource for non-licensed administrative support roles.
  • Field account service questions, within licensing status, from clients and escalate as appropriate.
  • Partner with advisors to strategize on opportunities to meet the needs of clients and those who should be.
  • Consult with clients on and assist with executing trades.

The Perks

  • Competitive base compensation with additional performance-based incentives (incentives vary depending on role)
  • Career development and continuous learning opportunities
  • Paid Time Off, Paid Holidays, Parental/Grandparent Leave, and more
  • 100% vested 401(k) Retirement Plan with company match
  • Medical, Dental, and Vision insurance
  • Flex spending plan & Health savings accounts with employer contribution
  • Student Loan Debt Reduction Program & Tuition Assistance Plan
  • Employee Stock Ownership Plan
  • Employer provided group life insurance with option to purchase additional life insurance for you and your family members
  • Employer provided long term and short term disability insurance
  • Additional Insurance options to meet your personal needs: Critical Illness and Accident insurance
  • Wellness Program
  • Free banking services and other financial services discounts
  • Take Your Dog to Work Day in June
  • Employee Rally Day- a day of celebration and recognition
Qualifications
  • Bachelor’s degree or equivalent combination of post high school education and related work experience
  • In addition to registration through FINRA with Series 66 (or Series 63/65), prefer 2-3 years of experience in an administrative support role.
  • Experience with annuity and/or direct business platforms or a combination of education and experience a must.
  • Banking or financial institution experience is preferred.

We RISE by lifting others. RISE stands for Retention, Innovation, Support, and Empowerment. Through RISE we aspire to create and sustain a culture of diversity, inclusion and belonging at work and in our communities. Our commitment to RISE is reflected in our operating principles, people and culture. We pledge to continuously learn, so we can understand and support the differences of individuals, embrace each other's strengths, and provide opportunities for all of us to work toward and achieve our full potential.

Now that you know more about us and the position, next step is for you apply so we can learn about you