Licensed Sales Professional

2 weeks ago


Montgomery, New York, United States Rhinebeck Bank Full time
Job Title: Licensed Sales Assistant

The Licensed Sales Assistant plays a vital role in the success of our investment services team at Rhinebeck Bank. This position requires a high level of organizational and communication skills, with a strong understanding of compliance regulations.

Key Responsibilities:
  • Process and maintain the workflow of all business related to investment services.
  • Review, distribute, and process incoming mail and documents.
  • Process incoming checks and Retirement Plan contributions for 401(k) accounts.
  • Review and ensure compliance standards are met for all new and existing business from Financial Advisors.
  • Maintain accurate and up-to-date client files and records.
  • Assist advisors with scheduling, client reports, and documentation.
  • Manage the account opening process and ensure proper documentation for accounts in accordance with industry guidelines.
  • Coordinate client/prospect events and prepare applications for new investment accounts and annuities.
  • Monitor account transfers and communicate with clients throughout the process.
  • Prepare and review case status to ensure accuracy.
  • Handle various investment client service requests, including distributions and address changes.
  • Maintain digital databases, including client and employee contact information.
Requirements:
  • High school diploma or equivalent; college degree preferred.
  • 2-3 years of relevant experience in the investment advisor industry.
  • Series 7 and 66 licenses, as well as Life Insurance certification.
  • Excellent verbal and written communication skills.
  • Proficiency in Excel, Word, and PowerPoint.
Salary Range:

$50,000-$70,000



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