Securities Sales Assistant Senior

Comerica - Farmington, MI

Full-time - Entry Level

Farmington, MI

Credit Intermediation and Related Activities

About the position

The Securities Senior Sales Assistant (SSA) role provides operational and sales support to multiple Financial Consultants (FCs) within their individual businesses, as well as supporting office initiatives. This position is crucial in assisting Financial Consultants in a Retail, High Net Worth, or Institutional capacity, ensuring compliance and excellent customer service while maintaining a focus on teamwork and operational efficiency.

Responsibilities

• Assists with the opening and maintenance of client accounts and records.
• Ensure completion of all paperwork for clients.
• Provide accurate, timely and courteous responses to clients.
• Organize client files and set up systems to assist Financial Consultant with regular follow up.
• Research and resolve complex and sensitive client problems and questions.
• Complete understanding of policies and procedures for firm and regulatory compliance.
• Copy and retain all necessary documentation.
• Maintain accurate office logs.
• Back up other sales associates as required.
• Identify any issues regarding office procedures and escalate as appropriate.
• Participate in office or firm-wide initiatives as requested.
• Demonstrate teamwork, cooperativeness, and positivity.
• Follow appropriate approval channels for all correspondence and marketing.
• Create client correspondence/mailings as requested.
• Perform operational or administrative functions for client related requests (i.e., check request, wiring funds, address change, dividend information, etc.).
• Enter trades as licensing and firm rules allow.

Requirements

• Bachelor's degree from an accredited university or high school diploma with 4 years of Financial/Retail experience.
• Series 7 and Series 63 licenses required.
• Willingness and ability to obtain FINRA Series 66 or 65, and resident state appropriate insurance and annuity licenses.
• 5 years customer contact experience.
• 2 years of experience in investments/brokerage industry and securities regulations.
• 2 years of Microsoft Office experience.