Registered Service Associate

At Liberty, we are proud to integrate our Diversity, Equity, and Inclusion (DE&I) throughout all functions and areas of the Bank to maximize our impact and exceed goals. We believe deepening our DE&I strategies in the workplace and communities we serve creates a much better place to work for our teammates and a safe place where our customers are connected and supported.  We take pride in promoting a socially responsible and sustainable future through initiatives and investment. 

SUMMARY OF THE JOB: 

Join a dynamic and successful team of financial professionals serving the investing, financial planning, wealth management and insurance needs of our clients and prospects.  The Registered Service Associate position joins a cohesive support team working with a nationally recognized, top performing team of Financial Advisors at Liberty Bank, in Middletown, CT.  The position includes personalized training and support, a team-based atmosphere, and a client-first mission. This position reports to the Business Development Manager (BDM), and is located in Middletown, CT.
 

ESSENTIAL FUNCTIONS:

The ideal candidate will handle the following responsibilities with minimal direct supervision:

• Support Financial Advisors with customer correspondence and communications related to account documentation, account servicing, and client inquiries.
• Prepare account opening and servicing documents for financial advisors, review all paperwork and documents for completeness and accuracy, resolve discrepancies in new account or service documentation, and submit paperwork in accordance with prescribed policies and procedures.
• Receive and handle client inquiries both independently and per the direction of the financial advisors.
• Resolve routine and complex inquiries on customer accounts, including research and follow up.
• Handle appointment scheduling, appointment preparation, calendar management, and all follow up.
• Apply knowledge of various computer software programs of the Broker / Dealer, including order entry, back-office account maintenance, and on-line market information systems.  Demonstrated ability to learn and utilize necessary technology platforms.
• Apply knowledge of the financial markets as well as investment and banking products and services.

Business Development:

Collaborate with and assist Financial Advisors with client outreach and marketing efforts.

Assist with facilitating campaign-based, targeted and general electronic and direct mailings.

Provide telephone-based outreach in collaboration with the financial advisors (no cold calling).

Create client and portfolio review information and facilitate the preparation of financial planning documents.

Minimum knowledge/skills:

A Bachelor's degree in Business Administration related field or equivalent work experience.

Minimum of 2 years of experience in the financial industry required. FINRA Series 6 and 63 licenses at a required. FINRA Series 7 and/or 65 and life insurance licenses preferred.

Demonstrated ability to problem-solve simple to complex issues, to capably handle competing priorities, and to maintain professionalism under all circumstances.

Excellent telephone etiquette skills and professional business writing, as well as strong mathematical aptitude required.

Professionalism and keen service orientation required. Team-focused, with the ability to maintain a professional office environment to promote a collegiate workplace and favorable public image.

Proficiency in Microsoft Office software, specifically WORD and EXCEL, is required, as well as strong computer aptitude.

ACCOUNTABILITIES

Adheres to applicable federal and state regulations and Bank policies and procedures, including OFAC, BSA, PATRIOT Act, Privacy, and consumer protection regulations pertaining to incumbent’s business line.

Completes required Continuing Education and training (on-line and in-person) by set due dates.
 

PHYSICAL REQUIREMENTS: 

• General Office Equipment
• Keyboard Dexterity
• Prolonged Sitting

COMPLIANCE:

Acts affirmatively in all activities under his/her control in conformance with the Bank’s Affirmative Action, Equal Employment Opportunity, and Fair Lending Programs to achieve the Bank’s goals and objectives. The Bank shall provide equal employment opportunity to all qualified persons, and continue to recruit, hire, train and evaluate persons in all jobs without regard to race, color, religion, sex, national origin, or veteran status.

Liberty Bank is an Equal Opportunity employer.  It is the policy of Liberty Bank to provide equal employment opportunities to all qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, protected veteran or disabled status, or genetic information.

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