What are the responsibilities and job description for the Investment Associate position at Synovus?
Job Summary:
Provides sales and administrative support to one or more Financial Consultants. Responds to client inquiries (verbally or in writing), provides quotes, monitors accounts, and enters trades as requested. Performs client servicing and records administration. Assists with new business initiatives as assigned. Functions as part of a larger team dedicated to achieving overall sales goals.
Job Duties and Responsibilities:
Provides sales and administrative support to one or more Financial Consultants. Responds to client inquiries (verbally or in writing), provides quotes, monitors accounts, and enters trades as requested. Performs client servicing and records administration. Assists with new business initiatives as assigned. Functions as part of a larger team dedicated to achieving overall sales goals.
Job Duties and Responsibilities:
- Provides daily administrative support for one or more assigned Financial Consultants. Processes all incoming business with follow-up to Financial Consultant and dealer or client as needed. Processes trade orders and executes client trade requests.
- Provides direct support to Financial Consultants by responding to client inquiries, processing new accounts, obtaining necessary account documents, resolving inquires, and processing account transfers.
- Processes orders for existing clients and answers questions regarding Synovus' products and services.
- Performs all clerical and administrative tasks, including the preparation and processing of correspondence and communications. Prepares various reports and daily filing of client information.
- Communicates daily with clients providing trade settlement information, coordinating the payment and delivery of funds, providing portfolio information and other requests. Schedules all appointments and prepares materials for client meetings and seminars.
- Creates reports for Financial Consultants regarding market conditions, sales results, and team earnings as requested. Organizes and updates product information.
- Each team member is expected to be aware of risk within their functional area. This includes observing all policies, procedures, laws, regulations and risk limits specific to their role. Additionally, they should raise and report known or suspected violations to the appropriate Company authority in a timely fashion.
- Performs other related duties as required.
The information on this description has been designed to indicate the general nature and level of work performed by employees within this classification. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities, and qualifications required of employees assigned to this job.
Synovus is an Equal Opportunity Employer supporting diversity in the workplace.
Minimum Education: Bachelor's degree OR an equivalent combination of education and experience.
Minimum Experience: Two years of sales support experience in the financial services industry.
Required Knowledge, Skills, & Abilities:
- Knowledge of securities compliance.
- Proficiency using Microsoft Office software products.
- Certification(s): Series 7 and 63 or 65 or 66 licenses.
Preferred Knowledge, Skills, & Abilities:
- Series 7, 63, 65 or 66 licenses and Insurance license
- Certified Investment Management Analyst (CIMA) designation
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