Job description
Value Proposition:
: This role may perform other job duties as assigned by the manager. Each employee of the Organization, regardless of position, is accountable for reading, understanding and acting on the contents of all Company-assigned and/or job related Compliance Programs, regulations and policies and procedures, as well as ensure that all Compliance Training assignments are completed by established due dates. This includes but is not limited to, understanding and identifying compliance risks impacting their department(s), ensuring compliance with applicable laws or regulations, and escalating compliance risks to the appropriate level of management. Sponsorship Statement : As a condition of employment, individuals must be authorized to work in the United States without sponsorship for a work visa by Fulton Bank currently or in the future. EEO Statement : Fulton Bank (“Fulton”) is an equal opportunity employer and is committed to providing equal employment opportunity for all qualified persons. Fulton will recruit, hire, train and promote persons in all job titles, and ensure that all other personnel actions are administered, without regard to race, color, religion, creed, sexual orientation, national origin, citizenship, gender, gender identity, age, genetic information, marital status, disability, covered veteran status, or any other legally protected status.
Our values define us and our culture inspires us to change lives for the better. Our employees are the heart and soul of our company, and every success we experience begins with them. Together we are committed to making a positive impact in our local communities. We champion a culture of continuous learning, work-life integration, and inclusion. We promote a digitally enabled work environment to continuously enhance the experience of our employees and customers.
Overview:
Provide direct support to Brokerage Services personnel by performing highly skilled administrative, customer service and sales related support.
Responsibilities:
- Responsible for the daily administrative operations for an assigned group of Financial Advisors. Function as a part of a larger team dedicated to helping achieve Fulton Financial Advisors' overall sales goals. Responsible for all aspects of client servicing and records administration.
- Provide direct support to Financial Advisors by processing all incoming business with follow up to broker and dealer or client as needed. Process trade orders and execute client trade requests.
- Perform all clerical and administrative tasks, including the preparation and processing of correspondence and communications, prepare various reports, and daily filing of client information.
- Provide direct support to Financial Advisors by processing new account applications, obtaining necessary account documents, resolving inquiries, and handling account transfers.
- Communicate daily with clients providing trade settlement information, coordinating the payment and delivery of funds, providing portfolio information and other requests. Taking trades and helping to service the high net relationships
- Schedule all appointments and prepare materials for client meetings and seminars including making copies and assembling informational booklets.
- May accompany a Financial Advisor to a client meeting to help book an annuity, review the reports or may meet a high net worth individual for servicing needs.
Education
Bachelor Degree or the equivalent experience. Specialty: Relevant degree pertaining to the essential duties of this role. (Preferred)
Experience
3 or more years administration in financial services or sales environment. (Required)
1 or more years experience with investment operations, procedures and transfers. (Required)
Certifications
Series 7 and Series 63 or 65 or 66 registration. (Required)
Knowledge, Skills, and Abilities
- Knowledge of investment industry terminology (Required)
: This role may perform other job duties as assigned by the manager. Each employee of the Organization, regardless of position, is accountable for reading, understanding and acting on the contents of all Company-assigned and/or job related Compliance Programs, regulations and policies and procedures, as well as ensure that all Compliance Training assignments are completed by established due dates. This includes but is not limited to, understanding and identifying compliance risks impacting their department(s), ensuring compliance with applicable laws or regulations, and escalating compliance risks to the appropriate level of management. Sponsorship Statement : As a condition of employment, individuals must be authorized to work in the United States without sponsorship for a work visa by Fulton Bank currently or in the future. EEO Statement : Fulton Bank (“Fulton”) is an equal opportunity employer and is committed to providing equal employment opportunity for all qualified persons. Fulton will recruit, hire, train and promote persons in all job titles, and ensure that all other personnel actions are administered, without regard to race, color, religion, creed, sexual orientation, national origin, citizenship, gender, gender identity, age, genetic information, marital status, disability, covered veteran status, or any other legally protected status.
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