What are the responsibilities and job description for the Client Services Associate position at Thoroughbred Financial Service, LLC?
Who We Are
Thoroughbred Financial Services, LLC (TFS) is an independent, full-service financial consulting firm based in Brentwood, Tennessee, with satellite offices in Columbia, Tennessee, Jackson, Tennessee and Knoxville, Tennessee. TFS, as a licensed Broker/Dealer and Registered Investment Adviser, offers planning and investment services to a select clientele of successful businesses and professionals. TFS is registered as a Broker/Dealer in 30 states and has a primary marketing area that includes Tennessee, Alabama, Georgia, Indiana, Kentucky and Mississippi. Forty-three registered representatives are licensed through TFS, 28 of which are also registered through TFS as investment adviser representatives. The firm has a total staff of approximately 55 people, which includes a corporate attorney, a tax attorney and a CPA.
Role and Responsibilities
The role of the sales assistant is to provide administrative support to the financial advisors and direct all aspects of their business. A successful sales assistant will be client focused and detail oriented, able to manage multiple projects at one time, work with little direction, and have a solid understanding of the financial planning process.
- Onboard and provide service and support throughout client account creation, including transfer of assets, compliance documentation and necessary approvals of new accounts.
- Provide client account support and serve as the primary contact for ongoing client maintenance requests.
- Prepare and compose client correspondence as requested by the advisors.
- Organize and maintain files and records, both hard copy and electronic and CRM data.
- Answer incoming calls, taking and relaying messages and responding to routine matters.
- Prepare client investment updates, presentations, paperwork, or other materials as requested by the advisors.
Qualifications and Education Requirements
The ideal candidate would hold a SIE/Series 7 or would be able to pass the exam within 6 months after hiring. The ideal candidate would hold a degree in finance, accounting or similar. Additionally, the candidate would have 3 years’ experience in financial services sales support.
Preferred Skills
Applicants must have expertise in Microsoft Office, online programs including Redtail or another CRM and have the ability to learn new software quickly. The applicant will be an excellent communicator, work well in a fast paced environment, be meticulously organized, and have the ability to work individually and in a team environment.
Additional Notes
Salary will be based on experience.
No phone calls please.
Position is not HYBRID.
Job Type: Full-time
Benefits:
- 401(k)
- Dental insurance
- Employee assistance program
- Health insurance
- Health savings account
- Life insurance
- Paid time off
- Vision insurance
Schedule:
- Monday to Friday
Experience:
- Financial Services sales support: 3 years (Required)
Ability to Commute:
- Jackson, TN 38305 (Required)
Work Location: In person