Job Duties:
· Provide exceptional client service to clients that call (or stop by in person)
· Take messages, transfer calls, and know daily plans for the office (out of office, in late, client meetings, etc.)
· Provide administrative support to advisors and office manager. Including: copying, filing, scanning, and faxing as requested.
· Provide clients with basic account information when requested. Including account balance information, statement, 1099s, and general account information.
· Responsible for updating client accounts in CW. Including addresses, phone numbers, email addresses, and client online account access.
· Pick-up and drop off US mail.
· General office cleaning on a weekly basis.
· Monitoring and purchasing office supplies (in coordination with office manager)
· Buy/sell stock and CDs, as requested by advisor.
· Review daily trade tickets and CD purchases for accuracy and execution.
· Deposit money into client accounts via mobile deposit. Following LPL processes.
· Issue cash requests into client banking accounts or via mail. Following LPL processes.
· Assist with monthly, quarterly, and annual LPL compliance requirements.
· Assist with weekly reports for the advisor.
· Complete annual client review slips for the advisor. Input data from client review into CW (compliance), and provide proper documentation of review in CRM.
· Create and monitor client accounts with debit balances. Providing a letter to the client regarding the debit balance.
· Sending closed account notes.
· Record retention/compliance, per LPL policies
· Open new accounts as requested by advisor.
Read Less
