Union Savings Bank - CT · 18 hours ago
Financial Advisor Trainee - Raymond James
Danbury, CT
Full-time
Onsite
New Grad, Entry LevelUnion Savings Bank is seeking a Financial Advisor Trainee to provide client servicing assistance within the Wealth Management and Trust Department. The role involves administrative support, client interaction, and preparation for a transition into a Financial Advisory position.
Banking
Responsibilities
Greet clients and prospective clients on the phone and in the office in a professional and genial manner
Follow and fully support Quality Service Standards with customer service, written communications, telephone etiquette and customer service inquiries, both internal and external
Provide prompt assistance to clients with regards to answering operational and administrative questions, and in response to requests from clients for documents, forms, prospectuses, statements, etc
Establish new account files and maintain existing customer files in accordance with Wealth Management Department and Raymond James’ compliance requirements
Perform clerical duties including answering the telephone, faxing documents, filing, photo-copying and typing correspondence
Maintain office supplies and equipment for all financial advisors including: inventory management, ordering and arranging for repairs
Process all incoming mail
Maintain and actively update monthly sales and contact reports
Make outbound calls to obtain appointments and sales opportunities for Financial Advisors
Screen bank branch referrals for proper placement to Financial Advisors
Listen for new sales opportunities for Wealth Management and bank services in interactions with clients and prospects
Prepare new account or account servicing documents for accounts held through Raymond James or accounts held directly with a fund or insurer
Act as liaison for Financial Advisors and outside vendors for creating and servicing direct accounts or insurance products
Maintain the Raymond James branch compliance files and stay current on compliance issues and updates issued by Raymond James
Assist with preparing for and responding to branch audits
Manage and maintain account linking function for Mutual fund and annuity assets held elsewhere
Remain current in all CE requirements including but not limited to RJ AML, OBA, and USB BVS assignments
Respond to RJ "Action Required" alerts
Administer and process money receipts, and the disbursement of funds, including check disbursements, wire transfers, and ACH transfers for customers. This includes the processing RMD’s for clients’ IRA’s
Track all client interactions in Customer Relationship Management (CRM) system
Prepare client presentations and materials as needed by Financial Advisors
Update client files as needed
Manage and maintain account linking function for Mutual fund and annuity assets held elsewhere
Monitor and implement all procedural changes for compliance reviews
Qualification
Required
Must be registered with Series 7, 63/65, or 66 OR must be willing to obtain within 1 year of hire
Company
Union Savings Bank - CT
Union Savings Bank, established in 1866, is a $3.0 billion mutual bank dedicated to providing excellent service to its customers and communities.
Founded in 1866
201-500 employees
Funding
Current Stage
Growth StageLeadership Team
Paul Bruce
Executive Vice President & Chief Financial Officer
Keith Wirtz, CFA
Vice President & CIO
Recent News
HamletHub
2024-05-04
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