Investment Advisory Associate

Description

Investment Advisory Associate

In this position, you will work to help service the needs of brokerage clients.

Primary responsibilities include:

• Support with broker-dealer, registered investment advisor and insurance business


• Complete sales and required route documents for processing new accounts and updating account information, monitor balances of customer accounts and take appropriate action when a debit occurs, track transfer of client assets


• Assure that activity and account processing is in compliance with pertinent laws and regulations


• Ensure all federal, state and insurance licenses are monitored and up to date in line with products offered and client state of residence for both the Group Director and the Senior Client Associate


• Review all documentation in light of completeness and suitability


• Maintain accurate and current customer records and branch files such as marketing, correspondence, etc.


• Follow up on routine client correspondence and phone inquiries


• Set up and track paperwork for client appointments


• Assist in the prospecting of new business and development of existing business


• Initiate and complete tasks as prescribed

Qualifications:

• 3 years of investment client support required


• Series 7 and 66 (or 63 and 65 either may be obtained within the first 6 months of employment)


• High school diploma or general education degree (GED) required


• Strong verbal and written communication skills


• Should have strong negotiation and closing skills

Employee Benefits:

• Competitive BONUS program


• Excellent health benefits with award winning wellness program


• Tuition and gym reimbursement


• 401K with company match


• Pet Insurance

Join a winning team!  Signature Bank has appeared on Forbes' Best Banks in America list for the tenth consecutive year in 2020.

Signature Bank, member FDIC, is a New York-based full-service commercial bank with private client offices throughout the New York metropolitan area. In 2018, the Bank expanded its footprint on the West Coast with the opening of its first full-service private client banking office in San Francisco. The Bank’s growing network of private client banking teams serves the needs of privately owned businesses, their owners and senior managers. Signature Bank offers a wide variety of business and personal banking products and services.

View available Careers with Signature at www.signatureny.com/careers

We are an Equal Opportunity Employer. 

We do not sponsor work visas.

First Time Applicants

If interested, please submit your resume online. This is the fastest and most reliable way to be considered for any of our positions. Incomplete applications or those missing required information will not be considered.

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