SmartPro Financial has an opportunity for an individual with financial services experience to join our team as an Administrative Assistant. This position will assist rep-advisors with the preparation and submission of paperwork for their clients.
- Prepare paperwork for new brokerage, advisory, and direct business accounts, as well as client service forms for existing accounts.
- Review paperwork for accuracy and submit paperwork for new and existing accounts to the registered principal.
- Monitor transactions through software systems to ensure proper approval is received.
- Submit paperwork to sponsor companies and follow-up to ensure transfers are completed and accounts are funded.
- Monitor paperwork status system to ensure all paperwork is in good order, and provide responses as needed.
- Follow-up by phone with clients for additional information requests.
- Other projects and tasks as assigned by the SmartPro Assist supervisor.
- At least two years experience in a supporting role in the financial, operations, or compliance fields.
- Experience with contact management systems, MS Word and Excel programs.
- Strong oral and written communication skills.
- Ability to work independently to manage and prioritize multiple projects.
- Ability to identify problems, resolve them independently or escalate when necessary.
- FINRA Series 6, 7, 63, 65, or 66 licenses are preferred.
- Office space may be available upon request.
- Opportunity to work from home with certain requirements:
- Must have own computer with encryption and anti-virus software.
- Reliable internet connection.
- Reliable phone service.
- Independent contractor income negotiable based upon experience.
Securities offered through Registered Representatives of Cambridge Investment Research, Inc., a Broker/Dealer, member FINRA/SIPC. Advisory services offered through Cambridge Investment Research Advisors, Inc., a Registered Investment Advisor. Cambridge and SmartPro Financial are not affiliated.
Job Types: Full-time, Part-time, Contract