Paralegal supporting the Structured Finance team within Dentons' Banking group. Engaging in varied and challenging legal tasks to support operations across UK offices.
About the role
- Support Advisor assisting financial advisors and clients at Quadrant Financial Advisors. Handling sensitive communications and advising on financial products and investment services.
Responsibilities
- Handle sensitive communications with members/customers, which may include highly confidential information and effectively respond through verbal and written communications to ensure a high level of customer satisfaction
- Facilitate and/or co-present product specific seminars and/or workshops as necessary
- Identify criteria for fund selection and track against indexes, specifically for WRAP accounts
- Participate in business planning for the Practice as needed
- Counsel and advise prospective and current members/customers on suitable financial products and investment advisory services
- Open and complete product applications
- Conducting substantive research or information gathering that will be used with making suitable securities product recommendations or providing appropriate investment advice (e.g. conducting due diligence, etc.)
- Obtain member/customer financial and/or suitability information
- Accepting and/or entering securities trade orders from customers, including unsolicited trade orders
- Explain, discuss or interpret insurance coverage; analyze exposures or policies; provide recommendations
- Issue certificates of insurance, endorsements, binders, commitments, or insurance contracts
- Assist financial representatives in the preparation and follow up for the member/customer meetings
- Collaborate with financial representatives to assist client with product changes
- Participate and drive marketing services including direct-mail, fraternal activities, seminars, meetings
- Additional responsibilities may be assigned in accordance with licensure and business needs
Requirements
- Securities (Series 7 and 66 or Series 7, 63 and 65) and resident state
- Life, Health and Annuities registration
- Satisfactory background check, fingerprinting and securities registration and/or insurance licensing verification, if applicable.
- Must be securities registered/insurance licensed/appointed in all states in which the candidate will be doing support work for the sponsoring financial advisor.
- Must be willing to complete appropriate state training in order to sell Long Term Care if this is determined to be a part of the position or support needs on the sponsoring financial representative.
- Demonstrated customer service orientation/experience, 2+ years preferred
- Ability to handle multiple tasks and maintain a high quality of work while experiencing frequent interruptions
- Ability to maintain integrity of sensitive/confidential information
- Basic understanding of the sponsoring financial advisor our products and services, and Thrivent Financial
- Previous administrative/secretarial experience desired
Benefits
- May be eligible for Thrivent benefit package
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