Registered Sales Assistant
Banc Of America Investment Services
San Jose, Ca
• Supported as many as 4 financial advisors simultaneously while coordinating customer service and operational requirements for all books of business.• Opened and managed accounts, processed federally compliant documents, placed trades, created binding perspectives on planning and prepared for client account reviews.• Proficient in the use of FBSI, IRIS, BIL, Streetscape, Account Express, Annuity Order Entry, MS Excel, MS Word, and MS Outlook.• Processed various investment vehicles for registered representatives of Banc of America Inv. such as mutual funds, stocks, annuities, insurance, etc.• Handled investment transactions with the appropriate market makers according to established Banc of America Inv. policies.• Provided current market information regarding bid and ask prices, PE information, volume trends and market updates.• Researched client issues with other departments within Banc of America Inv. and follow-up accordingly to ensure completion of such inquiries.• Assisted staff to utilize existing technology and systems to make their sales process more efficient.• Ensured compliance with rules and regulations established by the FINRA, SEC, OCC and Banc of America Inv management by overseeing securities transactions, client paperwork, and transaction history as requested by the Banc of America Inv. Compliance Department.• Ensured compliance with BSA/AML guidelines.• Coordinated social events for prospective and existing clients including movie screenings and dinner engagements.