Investment Services Operations Coordinator - DL Evans Bank

Job Description

The Investment Services Operations Coordinator acts as the central contact for procedural, technological, compliance and operational matters as they pertain to the Investment Services Department.  He or she is responsible for providing administrative and clerical support to the financial advisor in their respective region. The Investment Services Operations Coordinator types and assembles letters, memos, and reports. He or she answers questions and directs telephone calls and visitors and prepares documents.  The Investment Services Operations Coordinator assembles, maintains data and performs specific projects as assigned.

Qualifications

• Must be at least 21 years old
• High school diploma or GED required; Associate’s degree or equivalent from a two-year college or technical school preferred
• At least two years of experience as an administrative assistant/investment assistant or similar position
• Experience helpful, particularly in an investment environment
• Accurate and attentive to detail
• Well organized
• Good typing skills
• Willing and able to help others
• Able to use a computer, adding machine, copy machine, and basic business equipment
• Able to get along well with coworkers
• Able to use the internet and e-mail and demonstrate an understanding of Microsoft Office products and usage

Responsibilities

• Assumes responsibility for operational and regulatory compliance for the Investment Services Department
• Ensures compliance with current Federal regulations and the requirements set forth by the Securities and Exchange Commission, investment broker and D.L. Evans Bank
• Maintains and reviews department audit readiness
• Balances the general ledger account for the Investment Services department daily
• Prepares the outgoing wires daily.  Processes wire requests and documentation for wire file.  Keeps a wire log
• Track Cetera adjustments for all representatives.  Ensures accuracy and timeliness
• Reviews reports received from Cetera including monthly business summaries and billing of licensing/registration of representatives
• Submits monthly employee referral report to payroll
• Prepares and submits all marketing materials and proposals to Compliance for review
• Prepares and submits all currently used materials for updated Sunset date approvals
• Orders holiday cards after obtaining Compliance approval
• Prepares first Friday agenda; schedules telephone conference calls and sends e-mail invitations. Plans twice a year in person meetings
• Prepares annual most valued employee referral award
• Prepares preliminary proposed Cetera fees for program manager to report to the board
• Prepares monthly reports including money movement report, sales, AUM and representative goal reports, and monthly, quarterly and annual referral reports.  Submits required reports to Cetera as needed
• Prepares reports for various departments or Executive Management as requested
• Assists with the assembly of internal reports submitted to Executive Committee.  Sends information regarding CD rates and other information to CFO as needed or requested
• Maintains access to entire customer database for all representatives
• Assumes responsibility for the specific duties in order to support the financial advisor
• Processes client paperwork for investment customers including opening, closing and change documents.  Scans all documents to Cetera using Docupace
• Provides clerical support by updating customer files
• Processes customer transactions including checks received for deposit, recording purchases and sales, verifying deposit amounts and providing receipts
• Makes customer brokerage deposits into general ledger account
• Assists investment customers with inquiries, both in person and over the phone, including balance information, depositing of funds, forms, etc.  Responds independently or refers questions/concerns when appropriate
• Updates client information when necessary including address changes, beneficiary changes and bank/account information changes
• Tracks cases for issued policies, transferred assets and new clients on the 90-day welcome process
• Tracks pending business on DST program, Adviceworks Business Dashboard and any documentation missing/needed
• Prints annual review letters and follows-up with customer to schedule appointments
• Using Pinpoint, maintains sales blotters, gifts, correspondence, and checks received blotters
• Tracks commission payments to assigned representative(s)
• Serves as a user for FMG marketing program to send birthday cards, marketing updates etc.
• Assumes responsibility for the effective performance of assigned administrative and clerical functions
• Receives and screens visitors and telephone calls and either notifies staff members or records and relays messages.  Conducts visitors to proper offices and announces them
• Schedules appointments, branch training and customer meetings as needed
• Types and assembles a variety of documents including memos, letters, and reports
• Orders inventory for department office supplies and marketing materials
• Maintains customer database.  Tracks and maintains customer lists and addresses for mailings in Excel
• Files correspondence, memos, records, and reports
• Maintains inventory for department’s office supplies and marketing materials. Orders name plates for traveling trophy for employee referral winners
• Receives, reads and routes incoming mail and correspondence. Logs correspondence as necessary
• Corresponds with customers through phone, mail, fax, e-mail or in person
• Keeps management informed of area activities and any significant problems or concerns
• Attends meetings as required
• Serves as a representative for D.L. Evans Bank in the community
• Promotes D.L. Evans Bank at all times
• Types a variety of documents, records, and reports
• Completes special projects as assigned

Company Description

D.L. Evans Bank is a community bank and has been since 1904. For many years, we have provided premier banking services to the residents of Southern Idaho and Northern Utah while fostering a working environment for our employees dedicated to teamwork and excellent customer service. If you are a dynamic and customer-driven individual, whether an experienced banker or just beginning your career, we encourage you to continue with this applicant friendly, online job application!

D.L. Evans Bank is an Equal Opportunity Employer (EOE/AA/W/M/Vets/Disabled). VEVRAA Federal Contractor.

Benefits

• Medical Insurance
• Dental Insurance
• Vision Insurance
• FSA
• 401(k)
• Employee Stock Ownership Plan
• Paid Vacation
• Sick Time
• Life Insurance
• Long-term Disability Insurance