Supports the Investment Group Director in servicing brokerage and investment advisory clients. Responsibilities include client onboarding, account documentation, trade entry, asset transfers, regulatory compliance, license tracking, customer correspondence, record maintenance, appointment preparation, business development support, and resolving client or processing issues.
Position Title
Investment Advisory Associate
Location
New York, NY 10018
Job Summary
The Investment Advisory Associate works along with the Investment Group Director servicing the needs of brokerage clients. Assists with client on boarding and customer service. Enters trades on clients behalf.
Job Responsibilities:
JOB RESPONSIBILITIES
- Support the Investment Group Director with broker-dealer, registered investment advisor and insurance business.
- Complete sales and required route documents for processing/updating accounts, takes appropriate action when a debit occurs, track transfer of client assets.
- Assure activity/account processing is in compliance with pertinent laws and regulations.
- Ensures federal, state, insurance licenses are monitored/up to date.
- Follow up on routine client correspondence and phone inquiries.
- Maintains accurate and current customer records and branch files such as marketing, correspondence, etc.
- Review all documentation in light of completeness and suitability.
- Set up and track paperwork for client appointments.
- Assists in the prospecting of new business and development of existing business for the Group Director.
- Uses independent judgement and discretion to make decisions.
- Analyzes and resolves problems.
ADDITIONAL ACCOUNTABILITIES
- Performs special projects, and additional duties and responsibilities as required.
- Consistently adheres to regulatory and compliance policies and standards linked to the job as listed and complete required compliance trainings. Accountable to maintain compliance with applicable federal, state and local laws and regulations.
JOB REQUIREMENTS
Required Qualifications:
- Education level required: High School / High School Equivalency (GED, HiSET, TASC) / Foreign Equivalent.
- Minimum experience required: 2+ Years supporting investment advisors.
- Series 7 and 66 or equivalent.
Preferred Qualifications:
- Education level preferred: Undergraduate Degree (4 years or equivalent).
Job Competencies:
- Securities Industry Knowledge.
- Trading and customer service.
- Demonstrates a strong ability to build and maintain effective relationships with stakeholders by communicating clearly, engaging in proactive collaboration, and leveraging cross functional insights. Aligns relationship building efforts with enterprise goals to accelerate performance and drive strategic results.
- Builds trusted client relationships, whether internal or external, by identifying needs and delivering tailored solutions to enhance the overall client experience.
- Fosters or supports a positive work culture and productive work environment, displaying importance of effective relationships with customers and stakeholders.
- Physical demands (ADA): No unusual physical exertion is involved.
Flagstar is an Equal Opportunity Employer - Vets/Disabled
We are committed to providing clear and accurate compensation information in accordance with applicable laws. Actual starting base pay will be determined based on location, experience, and other non-discriminatory factors permitted by law. Total compensation may also include variable incentives, bonuses, commissions, or other awards as outlined in the offer of employment. Flagstar provides teammates access to a variety of benefits including medical, dental, vision, life, and disability insurance, as well as a comprehensive leave program. Please click the following link for detailed information: Benefits | Flagstar Bank
Pay Range
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