Licensed Investment Support Specialist II
Core
Provide administrative and operational support to registered securities representatives, handling account maintenance, trade execution, and client relationship support within a wealth management context.
Role type
Licensed Investment Support Specialist II
Builds
Client accounts and trading transactions for registered representatives
Domain
Financial Services / Wealth Management
Required skills
Securities licensing (SIE, Series 7, 66/65, 63, Life, Health, Long Term Care, Variable Annuity), Account maintenance, Trade execution, Risk management, Compliance adherence, Client relationship management, Onboarding support, Financial product knowledge, Microsoft Office proficiency
Preferred skills
Brokerage experience, Bachelor's degree in Finance/Economics/Business Management
Technologies
Microsoft Word, Excel, PowerPoint
Responsibilities
Process new and existing accounts, execute trades and money transfers, maintain client documentation, ensure regulatory compliance, coach business partners on market conditions and compliance, support onboarding of representatives
Seniority
Mid-level, individual contributor