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Currently seeking an Investment Sales Assistant for a growing financial investment company to support a Senior Advisor.   Our client has been in business for more than 35 years and has helped thousands of people realize their hopes and dreams by providing personalized financial and retirement planning strategies along with robust investment services.    Seeking an individual with stellar administrative and customer service skills with attention to detail and ability to multi task.  Must have 2+ years’ experience working in the investment industry.

Miscellaneous Tasks:

Answer Phones

Schedule Meetings

Prepare Forms, via DocuSign, submit manual forms via Secure email or mail

Communicate with sales reps via email and/or service memos.

Perform miscellaneous clerical functions for sales Reps.

Build new client households in Salesforce,

This includes keyword and quick reference data posted to the dashboard.

All documents are scanned, indexed & attached to a workflow in the client’s HH.

Activities are created, for reference, for tracking non-transaction related items.

Alerts are created for death cases, fraud, elder abuse etc.

Process Daily Transactions:

Investments Received (Checks/Wires/ACH in)

Lump Sum, 401k, IRA Transfers, Contributions to IRA, SIMPLE, SEP or ROTH Taxable Accounts (Trusts, UTMAs, Individual, Transfer on Death) Handle calls from clients for account balance information, forms, withdrawals, etc.

Process death case documents required to transfer to beneficiaries.


Processed via TD VEO, Outside Mutual Fund (AMF), Distribution form, verbal request, etc. For both qualified/non-qualified accounts.

One-time withdrawals

Systematic Monthly, Quarterly, Annual Withdrawals

Various Request received by Mail.

Regulatory / Legal/TD RIA – Forward to Compliance Dept

IRA Transfer Forms (In or Out)

Address Changes / Zip Code Changes / Area Code Changes

Beneficiary Changes

Trust Documents, Divorce Decree, QDRO, Death Certificates, Marriage Certificates, POAs, etc.

Required Minimum Distributions

Track via Salesforce RMD Manager

Update RMD Manager, with new RMD’s for IRAs and IIRAs.

Review annually to make sure all RMDs have been satisfied.

Workflows are created for all transactions in Salesforce.

Investments, Withdrawals, Transfers, etc.

Address Changes / Area Code Changes / Zip Code Changes / Address #2

Portfolio Review Dates / RMD Report Dates

Beneficiary Changes

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