Registered Associate

Position Title : Registered Associate

FSLA Status : Non-Exempt

Reports to :

Investment Services Program Manager or President - Southside Investment Services

Job Summary :

Supports the Financial Advisor and team with back-office processing and operations, promote and sell Nondeposit Investment products "NDIP" and services to the public under the direction of the Financial Advisor and in association with the Financial Advisor. Responsible for administrative office functions, sales support to the Financial Advisor and functions related to new business. Co-sells with the Financial Advisor through an integrated marketing program, including branch training, relationship development, individual and group presentations, direct-mail programs, follow-up calling and other client contact methods in coordination with the Financial Advisor. Initiates outbound phone calls, scheduling appointments for advisors, assists supervisor with office functions relating to marketing and compliance, responds to client service requests and maintains outstanding client service standards. Must be able to work effectively with other team members, clients and advisors.

Essential Functions :

• Handles incoming calls.
• Interviews and counsels customers to obtain financial background and investment goal information needed to develop a customer profile and to assist in determining appropriate investment strategies under the direction of the Financial Advisor.
• Remains thoroughly informed regarding NDIP and Bank changes in services, products and policies.
• Cross-sells other Bank products and services to new and existing customers to generate new business.
• Supports team on operational and client related issues.
• Initiates, processes, and responds to client service requests.
• Initiates outbound calls to clients (schedules appointments including client reviews, confirms appointments, responds to clients and communicates with clients on issues).
• Completes client meeting preparation, calendar and required client reports.
• Processes new business and completes new business-related functions.
• Opens customer accounts, maintains customer files and records in accordance with OSJ requirements and prepares all required reports.
• Completes daily, weekly and monthly operational and technical tasks.
• Initiates and confirms customer orders and places trades for Financial Advisor when requested.
• Supports Financial Advisor and responds to Financial Advisor requests.
• Clears compliance required maintenance.
• Performs other work-related duties assigned by supervisor, senior management or Financial Advisors in the field.
• Maintains all information relating to customer accounts and Bank affairs in strict confidence.
• Maintains confidentiality of all sensitive Bank information.
• Maintains a positive and caring atmosphere for customers and employees consistent with Southside Bank's mission, CORE Values, and Blue Book culture guide.
• Provides enthusiastic, professional, and courteous service to Southside Bank customers and employees.
• Participates in proactive team efforts to achieve departmental and company goals.
• Understands and agrees to abide by the policies and procedures established at Southside Bank.
• Responsible for complying with audit policies and procedures as they pertain to this position.
• Performs duties in compliance with applicable laws and regulations, including but not limited to the Bank Secrecy Act (BSA) and related anti-money laundering laws, and in accordance with the Bank's Information Security Program.
• Must comply with all applicable laws and regulations.

Additional Functions :

Required Education / Experience :

Necessary Skills :

Physical Activity / Dexterity :

Physical Environment Demands :

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Equal Opportunity Employer / Protected Veterans / Individuals with Disabilities

The contractor will not discharge or in any other manner discriminate against employees or applicants because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant. However, employees who have access to the compensation information of other employees or applicants as a part of their essential job functions cannot disclose the pay of other employees or applicants to individuals who do not otherwise have access to compensation information, unless the disclosure is (a) in response to a formal complaint or charge, (b) in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or (c) consistent with the contractor's legal duty to furnish information. 41 CFR 60-1.35(c)