Sales Assistant

Classification: Non-Exempt

Reports to: Brokerage Operations & Client Services Manager

The Sales Assistant is responsible for the client and sales support of Raymond James clients.

• Administration
• Answer telephone calls.
• Process and manage mail.
• Schedule appointments.
• Manage client communications [social media, mass e-mail, correspondence & reports].
• Prepare any documents to be overnighted for process by Raymond James home office.
• File documents as required
• Client Service
• Greet clients.
• Prepare client proposals.
• Prepare client account applications & open accounts.
• Mutual fund linking - Breakpoints and Direct Accounts.
• Deposit and post client checks/contributions.
• Enter and process client disbursements.
• Client account maintenance.
• Assist in the organization of account documentation and workflow.
• Reports
• Manage documents due report.
• Monitor cash reports.
• Prepare referral report and update sales system.
• Prepare Excel spreadsheets & Word documents.
• Compliance
• Adhere to regulatory requirements.
• Assist in compliance / regulator audits and examinations.
• Ensure account information is entered and managed in a reliable and timely fashion.

• Assist with gathering required documents and processes required by auditors.
• Cross train on other functions to ensure department stability as needed.
• Participate in all required meetings and any educational training required.

Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

None

This job operates in a professional office environment. This role routinely uses standard office equipment such as computers, phones, photocopiers, and fax machines.

• Prolonged periods working at a desk

This is a full-time position. Days and hours of work are Monday through Friday, 8:00 a.m. to 5:00 p.m.

Minimal travel is expected for this position.

• High School Graduate or GED.
• Effective time management and organizational skills.
• Strong verbal and written communication skills.
• Proficient in Excel and Microsoft Word.
• Effective interpersonal skills.
• Ability to manage confidential information.
• Must be able to work in a team environment.
• Must be able to multi-task.

• Post High School Education or 1 year of related experience.
• Work experience in a brokerage firm.

Please note this job description is not designed to cover or contain a comprehensive listing of activities, duties or responsibilities that are required of the employee for this job. Duties, responsibilities and activities may change at any time with or without notice.