RFS Assistant

Overview

The RFS Assistant will be responsible for assuring the completeness and accuracy of securities related documentation, as well as performing all acts required as a representative on any new walk-in security business. This position will support the job activities of a RFS Financial Consultant/Sales Manager and will support, where necessary, in the training and sales effort of Annuity and Securities Representatives. The RFS Assistant will be responsible for assisting customers, both existing and new, in the Securities area.

RENASANT BANK IS AN EQUAL OPPORTUNITY EMPLOYER

Responsibilities

• Help maintain good customer relations on a continuing basis
• Assist sales effort of the Manager by serving as a resource person and answering questions concerning all aspects of security transaction including, but not limited to, questions concerning qualifications, paperwork, and any other issue that may inhibit the sale
• Assist in organizing workflows and preparation of documents, memos, and various Financial Services correspondence. Read correspondence and memos directed to the manager, handle those of a routine nature either by writing, telephoning a response, or redirecting matters to proper parties to expedite handling
• Handle problems and questions from Platform Securities Representatives, Dedicated Representatives, Platform Annuity Agents, and clients. Also, assist dedicated representative(s) with securities documents, maintaining the files and managing appointment schedules
• Handle daily operational concerns and bring matters to a satisfactory conclusion
• Assist dedicated Representative/Manager in screening appointments, answering customer calls, and contacting existing customers
• Manage and coordinate the bank office function to ensure compliance with established policies and procedures
• Assist agents when their existing customers have questions or problems
• Order all supplies as requested by representative
• Process all new account paperwork for securities sales
• Responsible for sending funds to correct place
• Make and maintain files on all security customers
• Responsible for verifying that all new accounts receive a confirmation notice and that they are established correctly
• Assist customers as needed, i.e. account balances, completing transactions, and any paperwork questions
• Assist fund companies when additional information is needed regarding an account
• File all new and quarterly statements on each security account
• Maintain checks and securities log on all items sent out
• Maintain all required compliance files and upload online as required
• Responsible for sending securities paperwork to LPL Financial
• Order all literature, forms, applications, and prospectus as needed
• Assist branches as needed
• Audit all reports that come from LPL Financial relating to Securities
• Process all documentation from third-party firm relating to Securities and upload online as required
• Address problems with third-party firm as related to booking business and reports; respond to and fix these problems relating to Securities
• Process all incoming mail for department relating to Securities
• Perform other related duties as assigned

Qualifications

• High school diploma or equivalent required
• 1 year experience working in and FINRA regulated Environment, i.e. in-depth knowledge of and experience in processing stock transactions, Mutual funds, and variable annuities transactions is preferred
• 1 year experience in coordinating securities and Annuity Sales Training
• 1 year experience in coordinating annuity processing and paperwork
• Eligible to receive State Insurance License and Series 6 or 7 and 63
• Life insurance license or able to obtain in 6 months
• Active Series 6 or 7 and 63 Licenses, preferably 7, or ability to obtain in 6 months
• Good organizational skills and the ability to perform multiple tasks with limited supervision
• Good analytical and problem solving skills
• Good human relations and communications skills with aptitude for sales and marketing
• Extensive knowledge of stock, mutual fund, annuity and other securities sales and processing procedures and knowledge of the delivery system for these products
• Good computer and key board skills

Physical Demands

The physical demands described are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. While performing the duties of this job, the employee is frequently required to stand or sit; kneel, stoop, or squat; use hands or fingers to handle or feel objects, tools or controls; reach with hands and arms, and talk or hear. The employee is occasionally required to walk. The employee must occasionally lift and /or move up to 25 pounds. Specific vision abilities required by this job include close vision, peripheral vision, depth perception and the ability to focus.

Work Environment

The Bank’s professional working environment requires employees to communicate effectively, both verbally and in writing. Employees must demonstrate strong interpersonal skills when working closely with internal business partners and external clients. Employees may be exposed to confidential and propriety information within the working environment, therefore, must uphold confidentiality at all times. Due to the possibility of being exposed to high risk situations (i.e. robbery), detailed instructions and procedures are required to be followed at all times to safeguard the Bank’s employees, customers, and assets.

The above is intended to describe the general content of and requirements for the performance of this job. It is not to be construed as an exhaustive statement of duties, responsibilities, or requirements. The principal duties and responsibilities enumerated are all essential job functions except for those that begin with the word “May”.

This job description is intended to describe the normal level of work required by the person performing the work. The principle duties outlined are the essential responsibilities and duties.  Other duties may be assigned as needs arise.  Job requirements and/or processes may be modified to reasonably accommodate persons with a disability as required by law.

This description is not intended as a contract and is subject to change. Any written contractual agreements supersede this job description.