Investment Services Representative
Company: Cape Cod Five Cents Savings
Posted on: June 8, 2021
Under the direction of the Administrative Officer and Investment
Executive, assist in the development and operational areas of the
Investment Services Program. Provide excellent direct customer
service, promote long-term customer relationships, and enhance
relationships with other areas of the Bank.
ESSENTIAL JOB FUNCTIONS / RESPONSIBILITIES:
Performs any functions necessary, within the scope of authority
and expertise, to provide the highest level of service and
responsiveness to internal and external customers.
- Maintain customer accounts, process account changes, resolve
errors, handle correspondence, schedule appointments and answer the
- Maintain knowledge of investment and bank products and
- Open new accounts, set up systematic withdrawals, process
checks, provide quotes, answer customer questions, resolve customer
problems, and respond to cost basis requests.
- Perform general clerical duties; provide administrative support
for Investment Officers.
- Maintain various regular reports, such as cash balance report,
incoming and outgoing transfer reports, check deposit blotter and
securities received blotter.
- Enter and monitor customer's mutual fund and stock
- Process and monitor annuity purchases.
- Proactively develop, implement & manage service and marketing
campaigns with the Investment Officer(s).
- Work with Investment Officer(s) to develop, implement and
maintain onboarding and client segment service models.
- File and review quarterly mutual fund and Broker Dealer
statements. Maintain current prospectus for both mutual funds and
- Maintain and monitor Required Minimum Distributions procedure
throughout the year to ensure timely completion.
- Collaborate with attorneys and accountants to settle trust
accounts, ascertain account values, determine date of death values
and provide tax forms during tax season.
- Coordinate customer service and customer record keeping with
other departments of the bank.
- Maintain and monitor compliance files to meet regulatory
- Follow and adhere to all regulatory requirements including
OFAC, BSA and SEC' Best Interest Rule.
- Series 7 Series 66 and Insurance Licenses, or ability to
- Bachelor's degree is preferred or equivalent of course work in
banking, financial services and relationship selling.
- Minimum of three years' experience in financial services or
KNOWLEDGE, SKILLS & ABILITIES:
- Proven record of working with highly confidential data.
- Knowledge of laws, regulations and professional ethics related
to the investment industry.
- Knowledge of annuity principles and suitability standards is
- Excellent customer service skills.
- Experience using CRM and other tools to manage client
relationships, workflows and projects strongly preferred.
- Ability to manage multiple priorities, meet deadlines, strong
- Proven record of being accurate and completing assignments
within pre-determined time constraints.
- Ability to work collaboratively with peers and with
- Strong computer skills and knowledge of Microsoft Office
- Must have cyber security awareness to protect the digital
environment, the Bank, and customers.
- Organization - Exceptional organizational skills, including the
ability to prioritize workload and multi-task while maintaining
attention to detail and seeing tasks and projects through to their
- Communication - Exceptional interpersonal skills, proven
ability to work collaboratively as part of a team in a deadline
driven environment. Excellent written and verbal communication
- Customer Focused - dedicated to exceeding the expectations and
requirements of internal and external customers.
- Analytical Thinking- Uses rigorous logic and methods to solve
difficult problems with effective solutions, probes all fruitful
sources for answers and can anticipate potential problems.
- Detail Oriented - Strong attention to detail, accuracy, and
- Decision Making/Problem Solving - Ability to exercise sound
business judgment, discretion and offer solutions.
- Adaptable - Ability to multi-task, prioritize, meet and manage
deadlines, be adaptable and flexible in high-pressure
- Initiative - Proven self-starter with ability to initiate and
complete individual projects. Ability to identify needs and taking
action in a pro-active, self- directed manner.
- Collaboration - helpful, approachable, team oriented ability to
build strong working relationships and a positive work environment
in a deadline driven environment.
- Communicates independently and effectively with Broker Dealer,
Banking Centers and other departments to better serve client
- Partner with other functions and roles within the organization
to drive additional business.
- Supports team building efforts.
Overtime might be required during times of peak activities,
including early mornings, evenings and weekends. Regular attendance
and punctuality are essential. Ability to travel throughout the
Cape as needed to support Investment Services Officers.
Keywords: Cape Cod Five Cents Savings, Nantucket , Investment Services Representative, Other , Hyannis, Massachusetts
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