Brokerage Administrative Support Specialist

Value Proposition

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

This is a full-time, remote career opportunity supporting our Brokerage Regional Sales Manager and their team.

Provides high quality operational support to Financial Advisors and their clients, as well as administrative support to Regional Sales Managers.

Responsibilities

• Responsible for the daily administrative operations for assigned Financial Advisor(s) and Regional Sales Managers.
• Execute special or continuous research and complex data analysis. Research and obtain information for routine reports and special assignments.
• Plan, prioritize, and execute specified projects and initiatives, establish timelines, milestones, communication and reporting touchpoint for Sales Managers and relevant parties, consult with managers and vendors as necessary.
• Serves as first point of contact to service a high volume of daily interactions, including basic inquiries, scheduling of meetings, with prospective and existing clients on the phone, in-person, virtually and through mailings.
• Onboards new clients while ensuring all required documentation is complete and accurate and monitors the incoming transfer of new assets.
• Responsible for assisting clients with paperwork related to account transfers, beneficiary designations, and other maintenance requests. Processes client transactions, such as deposits and withdrawals, while ensuring compliance with regulatory requirements.
• Collaborate with Financial Advisor(s) to prepare client meetings and presentations, including gathering relevant data and creating reports.
• Creates and maintains records and files utilizing Client Relationship Management (CRM) software. Ensures required client paperwork is current with firm and industry requirements, rules, and regulations.
• Assists Financial Advisor(s) with marketing efforts including seminars and other client facing events.
• Actively engages in available training/cross-training and educational and/or professional development opportunities to remain current on firm and industry policies and procedures.
• Functions as a part of a larger team dedicated to helping achieve Fulton Financial Advisors' overall sales goals.

Additional Responsibilities

• May act as coordinator of departmental projects, following up on pending details, coordinating team activities and ensuring deadlines are met.
• May participate in client meetings with a Financial Advisor(s) upon request.

Qualifications

Education

Bachelor's Degree or the equivalent experience. Specialty: business, finance or related. (Required)

Experience

3 or more years Administration in financial services or sales environment. (Required)

2 or more years

Experience with investment operations, procedures, and transfers. (Preferred)

Certifications

Administrative Support Specialists in Brokerage must be able to be affiliated with our Broker Dealer. (Required)

SIE (Security Industry Essentials), Series 7, Series 63 (or Series 66). (Preferred)

Life, Accident & Health Insurance License. (Preferred)

Knowledge, Skills, and Abilities

• Knowledge of mathematics sufficient to process account and transaction information. (Required)
• Ability to use appropriate interpersonal styles and communicate effectively both orally and in writing with all organizational levels. (Required)
• Ability to initiative and proactively follow up on submitted items to ensure completion, resolve errors questions or concerns. (Required)
• Knowledge of investment industry terminology. (Preferred)
• Exposure to Microsoft Office Suite. (Preferred)
• Exposure to client relationship management (CRM) software, or similar contact management software. (Preferred)

Other Duties as Assigned by Manager

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.

Pay Transparency

To provide greater transparency to candidates, we share base salary ranges on all job postings regardless of state. We set standard salary ranges for our roles based on the position, function, and responsibilities, as benchmarked against similarly sized companies in…