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Registered Sales Asst at Webster Bank

Posted in Banking 30+ days ago.

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Location: Hamden, Connecticut

Job Description:
If you're looking for a meaningful career, you'll find it here at Webster. Founded in 1935 by Harold Webster Smith, our focus has always been to put people first--doing whatever we can to help individuals, families and businesses achieve their financial goals. And while we've grown into a leading commercial bank, we remain passionate about serving our customers, supporting our communities, and making a difference in people's lives. We can make a difference in your life, too. By empowering you to build the meaningful career you've been looking for.

Responsibility, respect, trust, teamwork and citizenship are the values on which Webster was founded. Together we call them The Webster Way, and they are what set us apart as a bank and an employer. Guided by these values, we put people first - working hard to live up to our customers, and each other, every day.

Job Summary:

To provide a wide range of administrative, trading, marketing, and partnership support to Senior Financial Consultants. The Registered Sales Assistant works directly with prospects, clients, partners, vendors, and back office staff to ensure that a Senior Financial Consultants wealth practice is efficient, productive, and compliant to all relevant regulations and guidelines. The Registered Sales Assistant is licensed with the FINRA with a Series 7, 66 (or 63 & 65) as well as holds a State Insurance license.


Administrative & Service Duties:
  • Provide administrative support to SFC and team: (e.g., telephone coverage, mail, meeting arrangements, coordinate communications, fax and photocopy)
  • Maintain paper and electronic SFC file systems.
  • Monitor and maintain inventory of required office supplies, including marketing collateral, forms and documents
  • Point person for maintaining and scheduling FC calendar
  • Preparation for clients meetings (client files, presentation material, brochures, etc)
  • Handle variety of customer communications:
    • Prospecting letters
    • Confirm appointments/time to review cards
    • Send contracts and policies
    • Order customer illustrations
    • Trouble shoot customer problems for resolution

Registered Trading/Transaction-Oversight/Account-Processing Duties:
  • Meet with clients to complete paperwork for trades as required (as properly licensed with 7/66/65/63 or life licenses.)
  • QC representative paperwork and trades for completeness and accuracy.
  • Assist with routine mutual fund and annuity AOE transactions; including processing sales/transfers, confirming trades with customers, wiring fund and discussing customer issues/concerns. Work with clients to fulfill trade requests for individual securities. Place trades as licensed and required. Proficiency with Branchnet and all LPL trading platforms a requirement to perform all registered trading and transaction duties.
  • Work with Direct Fund, Annuity, and other Financial Providers to process and confirm trading activity.
  • Ensure office is in compliance with FINRA regulations (e.g., orderly customer filing, maintain up-to-date inventory of critical materials: approved product list, prospectuses, performance reports, forms; ensure manuals and FINRA books are available to each registered branch). Assist in audit preparation.

Reporting Requirements and Duties:
  • Maintain all Onetouch Reporting for SFC, FA, and LBEs both for incoming and outgoing referrals. Keep complete log of sales and appointments; assist with tracking & reporting of sales/appointments by branch. Track Cross Referral reporting to WIS as well as to Sales Council. Follow-up branch client referrals for reporting purposes.
  • Conduct required reporting & analysis for LPL reporting systems (account browse, branchnet, emoney, accountview, LPL reporting, trade direct, etc.)
  • Reconcile commission reports

Partnership Duties:
  • Liaison with Bank branch staff for group training, morning huddles, and one on one training.
  • Liaison with Bank branch staff for communication of goal status, client status, and cross referrals.
  • Liaison with bank branch staff for all WIS marketing activities.
  • Assist with coordination of LBE program, including communications, reporting, tracking, and promotional events.
  • Attend meetings as required and work on miscellaneous projects as requested.
  • Also assist in above partnership requirements with other WBS business units such as Consumer Finance, Business Banking, Private Banking, etc.

Marketing Duties:
  • Telemarket to book appointments, including qualifying leads and providing basic product information on registered products to potential prospects.
  • Meet with clients for initial screening and profiling using approved tools such as WIS worksheets, etc.
  • Assist in preparation of Marketing and Business Plans.
  • Coordinate, execute, and track all SFC marketing activities:
  • Letter Campaigns & Newsletters
  • Special Client Correspondence (Birthday cards, Refer a Friend, etc)
  • Focus Weeks & Investment days
  • Seminars & Lunch/Learns
  • Trade Shows & Exhibits
  • Social Media


Education - Associates degree preferred

Securities and life licenses (7, 66 (or 65/63), State Insurance License)

The incumbent should be:

  • Resourceful, motivated, enthusiastic and take initiative
  • Highly organized
  • Proficient in Windows--Based Excel and Word
  • Comfortable and efficient in telemarketing activities
  • Able to communicate effectively and thoroughly
  • Possess a broad knowledge of administrative skills
  • Have good judgment skills
  • Have a strong sensitivity to follow-through and be diligent about meeting deadlines