Licensed Financial Assistant

Location will be in Winston-Salem, NC and Clemmons, NC

Role Accountability

At Allegacy, there’s a common thread that runs through all of us. It’s our commitment to doing right and our promise to members to always do the right thing for their wellbeing. Every employee in our organization is accountable to living out our brand in meaningful ways as our promise motivates our beliefs, our behaviors, and the benefits we share together. In order to achieve this state of success, this position works with a group of Allegacy Investment Group Financial Advisors to accomplish production goals of the overall program. This position will focus on providing high levels of service to our members and our internal staff by providing exceptional administrative support for Financial Advisors. As part of the Allegacy Investment Group, this position will provide excellent customer service in all relationships, maintaining the highest level of confidentiality and collaboration with the Allegacy Investment Group team. 

Specific Accountabilities

• Deliver exceptional member service to every member, every time by ensuring employees deliver consistently high quality service to both internal and external member that is in alignment with our Brand =Culture.
• Meet or exceed established service goals
• Ensure thorough understanding of expectations and consistently exhibit Allegacy behaviors.
• Perform licensed activities to support advisor relationships with existing clients and new prospects.
• Maintain accurate CRM data with appropriate information and in accordance with FINRA and Allegacy Investment Group compliance standards.
• Assist with coordination of branch referral training and workshops for clients and prospects of branch advisors
• Handle client inquiries and assist back-office support personnel at vendors and broker-dealer to ensure a high degree of quality service and customer satisfaction. 
• Process incoming checks and investable dollars in a compliant and timely manner.
• Prepare and process paperwork for clients of advisors and review new acct paperwork for accuracy and quality control
• Execute joint calls with clients and providers to assist the member in transferring qualified funds from one provider to another
• Discuss member questions related to securities and insurance products.
• Assist members with complex discussions with strategic product or service providers and partners on behalf of advisor.
• Review and execute withdrawal requests for suitability and relevance and discuss relevant tax implications with the members
• Set up Periodic Investment Programs within member accounts
• Place trades within member accounts
• Assist financial advisors in calculating and executing member Required Minimum Distributions
• Keep all securities and insurance licensing current through successful completion of Continuing Education requirements.
• Perform various other duties as assigned by Operations Manager and/or Program Manager

 Knowledge, Skills and Abilities

• Courtesy, tact and diplomacy are essential elements of the job. Work involves much personal contact with others inside and/or outside the organization.
• Demonstrated collaborative skills and the ability to work well within a team in a creative, fast-paced and deadline-oriented environment.
• Strong verbal communication skills with a focus on member service.
• Ability to follow complex instructions.
• Proficient use of arithmetic operations
• Proficiency with web-based applications, Windows, Microsoft Office, and other financial planning software.
• Good organizational skills and the ability to multi-task and prioritize in a high volume, fast-paced and deadline-oriented environment.
• Ability to manage sensitive and critical client information.
• Problem-solving and decision making skills.
• Ability to demonstrate disciplined time management skills
• Willingly accepts both accountability and responsibility.

Education and Experience

• Completion of a two year degree required. 
• Minimum of 3 years of experience in the financial services professional as a licensed financial assistant or similar role. 
• FINRA Series 7 and 66 securities registration required. Or combination of Series 7, 63 and 65.
• Life, Accident, and Health Insurance license required