Customer Service Assistant

BANK OF LUXEMBURG • Luxemburg, WI • 1h ago

JOB REQUIREMENTS: 1. Works closely with Financial Advisors to service clients\' investment and insurance needs. A. Provides a high degree of personal service to clients and serves as co-relationship manager with Financial Advisor(s) handling client requests quickly and according to industry compliance regulations. B. Opens new accounts for individuals and complex entities like businesses, trusts, and employer plans, following-up directly with clients and collecting the necessary information, documents, and signatures. C. Completes and tracks client paperwork and processes for account updates, money movements, journaling securities, rollovers, transfer of assets, inheritance distributions, authorized traders, power of attorney, beneficiaries, agent changes, etc. D. Recommends additional account maintenance paperwork pertinent to smooth and efficient service. E. Follows up directly with clients when paperwork is needed, rejected, or missing. F. Schedules and confirms client meetings and reviews. 2. Assists with financial analysis and annual reviews. A. Prepares client portfolio reviews, reports, and any additional client forms prior to Financial Advisor meeting with clients. B. Reports and fulfills client annual Required Minimum Distributions (RMDs), including calculating RMDs for inherited IRAs C. Pulls and publishes monthly Board reports. D. Prepares traction and other team performance reports. E. Maintains a master direct business annuity spreadsheet with current details for each policy. F. Calls vendors to get detailed policy information and values when needed. G. Provides ongoing support and monitoring of low debit balances and low cash balances for automatic withdrawals. 3. Ensures professional, efficient, and compliant office operations. A. Greets prospective and existing customers warmly and assists with inquiries in person and by phone. B. Upholds high standard of personal and fiduciary conduct, FINRA compliance, and protection of highly confidential client, financial, and Legacy Financial Services information. C. Continuously works with broker-dealer and/or vendors to ensure tasks are completed timely and accurately and ensures operations are in compliance. D. Tracks customer interactions and updates tasks in customer relationship management system (Salesforce) to maintain strict regulatory compliance. E. Creates and maintains books and records for trades made with outside vendors. F. Submits for approval and maintains records for any correspondence to clients for audit purposes. G. Maintains client records and supplies samples for our annual audit by outside auditors. H. Maintains branch office compliance files, making sure the content of customer files is complete with all necessary statements and documents and scanning appropriate documents into electronic filing system. I. Maintains intermediate level of understanding of financial products used within the practice. J. Completes regular, mandatory, continuing education provided by broker-dealer per FINRA regulations. K. Travels to broker-dealer admin retreats for continuing education as needed. L. Maintains positive relationships with staff and works with management to help facilitate a total team concept. 4. Promotes business development A. Keeps informed of changes within the market. B. Participates in community outreach/sponsorship initiatives. C. Attends marketing meetings with compliant marketing service provider to review performance, set goals, and request assets, as well as performs regular marketing tasks such as updating contact lists, scheduling emails, and seeking shareable moments and visual content for social media. D. Informs Financial Advisor(s) of investment opportunities and needs. 5. Performs Administrative Duties A. Prepares mailings such as birthday cards and appointment reminder cards. B. Opens, distributes, and mails daily correspondence. ** OTHER EXPERIENCE AND QUALIFICATIONS: Associates Degree along or equivalent work experience required. Word, Excel, and basic computer knowledge required. Must be able to work within deadlines. Strong attention to detail and the ability to multi-task. Strong interpersonal and organizational skills. Ability to work independently. Strong customer service skills. Proven time management skills. Strong analytical and problem-solving skills. ** APPLICATION INSTRUCTIONS: Apply Online: https://www.paycomonline.net/v4/ats/web.php/portal/BF8D06662683EE7500284AB3421F5B24/jobs/522515

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