Licensed Pi Service Trader
Current· Acts as a primary counter rep (triage walk-ins).· Responsible for educating clients on the services and products available to them to more effectively monitor, maintain, service and manage their investments.· Coordinates overall schedules and appointments for the S(AE) and lobby.· Fulfills client transactional informational and service needs.· Sets up, inputs and enters data to the brokerage and shareholder systems which includes account maintenance, processing checks, disbursements, securities, TOAs, priority new account set up conduit to processing groups, cashiering, adjustments, etc.· Responsible for customer literature supplies and inventory management.· Responsible for arranging payment for incidental branch expenses.· Handles outgoing customer mail, outgoing internal mail, incoming mail, imaging customer paperwork, etc.· Processes checks, disbursements, securities, TOAs and priority new account set ups.· Acts as a conduit to processing groups, cashiering, adjustments, etc.· Adheres to compliance/risk procedures and exhibits detailed attention to disclosure policies.· Serves as quality control point to ensure that all calls, paperwork, policy and procedures for customer requests have been adhered to in accordance with compliance requirements.· Assists with seminar preparation and enrollment and presents basic seminars· Responsible for fundamental guidance (simple planning, appointments).· Identifies additional customer needs and introduces additional Fidelity products and services.· Provides investment information/guidance to Mass Market.· Works closely with manager and other representatives to recognize opportunities to retain and build Fidelity assets.
