Southwestern Investment Group
801 Crescent Centre Drive, Suite 600
Franklin, TN 37067
Recognized as one of the Top Workplaces in 2020, Southwestern Investment Group operates as a family. With more than 40 wealth teams covering five states, our client-focused approach continues to drive our growth across the country. We build our relationships through trust and the heart of a teacher. We partner with clients in pursuit of financial independence and planning for the future. Through our broker-dealer Raymond James, and as one of the family member companies of Southwestern Family of Companies, we have the support of a large company while offering clients the intimate service of a small firm.
This position works in conjunction with the Advisor to determine various opportunities to educate and inform clients to help achieve their financial goals. The position will require extensive research and analysis of client data, various planning software and various other tools to provide a clear and concise plan. Extensive knowledge in all areas of planning.
JOB DUTIES AND RESPONSIBILITIES:
• Interacts daily on the phone and in person with prospective and existing clients including handling basic inquiries and providing quotes.
• Enters and receives orders for the Financial Advisor.
• May service less active accounts (optional)
• Researches client and security information through the back office system.
• Processes and follows up on client documentation for proper maintenance of accounts.
• Prepares letters, forms, and spreadsheets to assist with servicing existing clients and prospecting for new clients.
• Creates and maintains records and files.
• Ensures required client paperwork is current with firm and industry requirements, rules and regulations.
• Maintains databases and creates reports using portfolio software programs.
• Assists Financial Advisors with marketing efforts for seminars and compliance approval for advertising literature.
• Responsible for client meeting preparation (forms, reports, presentations, etc.)
• Supervise and train additional client services staff.
• Receives cross-training and assists with other operational functions as required.
• Performs other duties and responsibilities as assigned.
• Bachelor’s Degree in Finance or related field
• 5 years of prior industry experience as a registered associate in sales and support
• Series 7, Series 65/66 registered and/or professional CFP Designation
• Proficient in Microsoft Office Suite
• Ability to work on multiple projects simultaneously while accomplishing daily tasks
• Effective oral and written communication skills and excellent interpersonal skills
• Attention to detail, critical thinker and problem-solving skills
• High standards for integrity, honesty, professionalism, and work ethic
• Commitment to service excellence
• Ability to work independently while demonstrating excellent organization and follow through
• Demonstrates flexible and efficient time management and ability to prioritize workload
• Ability and willingness to move with purpose and a strong sense of urgency
• Self-motivated, positive, and enthusiastic
• Self- starter with a strong desire to exceed expectations and capable of supporting a team
• Maintains confidentiality discretion
• Ability to effectively work in collaboration with others to achieve business objectives.
• Willing to grow and be challenged
• Attend training as requested