Job Title: Administrative Sales Assistant

Department: Wealth Management

Job Status: Full Time ****

FLSA Status: Non-Exempt

Grade: 7 ****

Amount of Travel: Some Travel

Reports To: VP, Wealth & Product Management

Positions Supervised: N/A

POSITION SUMMARY

Under the general direction of the VP, Wealth & Product Management, the Investment Sales Assistant performs all daily tasks required for transactions related to the investment of client accounts located with the broker/dealer. The investment sales assistant must adhere to regulatory compliance standards at all times.

ESSENTIAL FUNCTIONS

• Assists investment advisor representatives in processing and recording all transactions relating to client accounts on the Broker/Dealer operation system and in maintaining accurate reports on selected accounts not reported on the Broker/Dealer system.
• Initiates new account openings and prepares documents for signatures.
• Records product trade for investment advisor representatives’ clients when needed.
• Assists with investment profiles and product placement process.
• Maintains files and prepares forms and records as required for client accounts.
• Maintains ongoing SEC/FINRA compliance standards by attending product educational and compliance meetings/seminars.
• Attends monthly departmental meetings and assists in coordinating client seminars and employee training.
• Provides bank-wide referral report to the payroll department for processing on quarterly basis.
• Prepares routine correspondence and is primary telephone liaison for incoming telephone communication to department officers and clients.
• Performs other clerical and investment-related functions as assigned.
• Must complete BSA, AML, and other Regulatory and Continuing Education as assigned.
• Must adhere to all bank and regulatory policies and procedures specific to position.
• Performs additional duties as requested

POSITION QUALIFICATIONS

Competencies

• Communication
• Customer Relations
• Dependability
• Ethics
• Job Knowledge
• Productivity & Time Management

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Education/Experience/Skills & Abilities

• Bachelor’s degree or equivalent and a minimum of two years of financial services experience.
• Excellent PC skills, including Microsoft Word Excel & Access.
• Ability to interact effectively with co-workers, clients and management.
• Must be detailed oriented and highly organized and possess excellent oral, written communication skills and analytical skills.
• Demonstrate confidentiality and discretion with respect to all clients and firm information.

PHYSICAL DEMANDS

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Physical Demands

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Lift/Carry

Stand Occasionally

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10 lbs or less Frequently

Walk Occasionally

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11 – 20 lbs Frequently

Sit Frequently

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21 – 50 lbs Occasionally

Handling/Fingering Frequently

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51 – 100 lbs Not Applicable

Reach Outward Frequently

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Over 100 lbs Not Applicable

Reach Above Shoulder Occasionally

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Push/Pull

Climb Occasionally

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12 lbs or less Occasionally

Crawl Occasionally

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13 – 25 lbs Occasionally

Squat or Kneel Occasionally

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26 – 40lbs Occasionally

Bend Occasionally

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41 – 100 lbs Occasionally

N (Not Applicable) Activity is not applicable to this occupation.

O (Occasionally) Occupation requires this activity up to 33% of the time (0-2.5+ hrs/day)

F (Frequently) Occupation requires this activity from 33%-66% of the time (2.5-5.5+ hrs/day)

C (Constantly) Occupation requires this activity more than 66% of the time (5.5+ hrs/day)

Other Physical Requirements

None

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Westfield Bank has reviewed this job description to ensure that essential functions and basic duties have been included. It is not intended to be construed as an exhaustive list of all functions, responsibilities, skills and abilities. Additional functions and requirements may be assigned by supervisors as deemed appropriate.