South Dakota Society of CPAs

Registered Sales Assistant - Hybrid - Sign-On Bonus - $1,000.00

Spotlight Preferred
GTE Financial
Tampa Bay, Florida, United States
11 days ago

Description

GTE Financial was named as one of Tampa Bay’s Top Workplaces and Best Places to Work!

Come join our GTE Financial team!

GTE Financial is looking for an organized, professional, dedicated individual to join as a Registered Service Assistant.  The Registered Service Assistant will be providing clerical and sales support for the financial advisors.  They will assist with the member clients servicing issues. The position relies on experience and judgment to support the sales goals of the financial advisors and to achieve department objectives.  Attention to detail is a high priority for this role to ensure the accuracy of all documentation submitted to support our member/client relationships with the advisors. They will support/assist in the preparation of branch promotions and presentations for our financial advisors. Performs a variety of tasks under general supervision with a certain degree of creativity and latitude.

What does GTE look for in a Registered Service (Sales) Assistant?

Service:

  • Assist financial advisors with member-client servicing issues (address changes, account questions, account changes, etc.). Take phone calls on behalf of the financial advisors and respond to those member-client questions and servicing issues as permitted. Serve as a second resource for member clients.
  • Complete mutual fund trade tickets, place trades, and monitor for settlement, process paperwork for annuities and life products.
  • Assist with the credit union referral process; set, confirm, and follow up with appointments for the financial advisors.
  • Review all submitted paperwork for accuracy and completeness before submission. Follow up with a financial advisor, client, insurance company, or broker/dealer to obtain the necessary documentation.
  • Set up member-client accounts and monitor trade activity for accuracy.
  • Establish and maintain member-client files to meet compliance requirements.
  • Follow the established insurance and securities compliance guidelines, and strictly adhere to all company policies.
  • Follow established policies and procedures of ethical market conduct. Conduct business according to high standards of honesty, fairness, and integrity, as well as render service to customers in a manner consistent with what we would demand ourselves.
  • Assist in marketing, mailings, branch promotions, seminars, etc.
  • Run illustrations, assist in fund performance research, and prepare member-client presentations for financial advisors.
  • Monitor financial advisors’ offices for any marketing material, office supplies, or compliance material needs.
  • Working knowledge of brokerage and insurance products, terms, functions, suitability, and compliance aspects.


Operational:

  • Customer service focused with high attention to detail to support the department and clients.
  • Must demonstrate functional knowledge of the Bank Secrecy Act in addition to other Federal laws, including but not limited to the U.S. Patriot Act, Office of Foreign Assets & Control, Anti-Money Laundering, and Right to Financial Privacy Act, and the Bank Bribery Act.
  • Bilingual preferred (English/Spanish).


Required Qualifications:
 

  • High school diploma or equivalent.  Some colleges preferred.
  • Min 3 years’ experience or combination of education and experience in Investment or Insurance services.
  • FINRA Series 7 and Series and 65 or 66 licenses.


 Position Details:

  • Location:                       Downtown Tampa – GTE Headquarters
  • Department Hours:        Monday– Friday (8:00 am to 6:00 pm) // Saturday (9:00 am to 1:00 pm)
  • Full-time hours required, with additional hours as necessary to accomplish objectives, goals, and projects.
  • Work arrangement (in-office, hybrid, or remote) may be changed at any time by management with appropriate notice if possible.


Required for Remote Work
:

  • A quiet workplace so you can focus on delivering excellent service to our members.
  • Must live in a location that can leverage an existing high-speed internet service.
  • Minimum upload speed 5 MB/s, preferred upload speed 25 MB/s.
  • Minimum download speed 25 MB/s, preferred download speed 50 MB/s.
  • Candidates must provide and meet all technical requirements before the first day of training.
  • Hybrids - Candidates must live within driving distance of the office location and be able to regularly commute to and from the office location as needed.


GTE was named one of Tampa’s Top Workplaces!

Come and join our award-winning team.

GTE Financial is an Equal Opportunity Employer.

Note: The above statements describe the general nature and level of the work being performed and are not an exhaustive list of all responsibilities of an employee in this job. GTE reserves the right to revise or change job duties at any time as directed by management. Furthermore, they do not establish an employment contract and are subject to change at the discretion of the employer.



Job Information

  • Job ID: 63901569
  • Location:
    Tampa Bay, Florida, United States
  • Position Title: Registered Sales Assistant - Hybrid - Sign-On Bonus - $1,000.00
  • Company Name For Job: GTE Financial
  • Job Function: Other
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