Registered Associate

Registered Associate

Registered Associate



About the Company: SMITH HAYES Companies opened its doors for business on December 18, 1985. The company started with three employees and has grown to over 100 employees. The firm has offices in Lincoln, Omaha, and Columbus and is licensed to do business in all 50 states.



SMITH HAYES acts as the affiliated broker dealer for independent representatives throughout the Midwest. SMITH HAYES Companies has grown to include not only SMITH HAYES Financial Services Corporation, but also SMITH HAYES Advisers, a registered investment adviser which was established on October 23, 1997 and SMITH HAYES Management Company established on December 5, 2001.



The Registered Associate in in the Sales Support Department and reports to the Brand Administrative Assistant. The Registered Associate will be responsible for performing marketing and administrative support functions for an assigned group of brokers to facilitate the generation of commission and fee revenue for the brokers and Registered Associate will also

support with processing client paperwork, scheduling and preparing for appointments, and providing outstanding customer service.

The Registered Associate's Principal Responsibilities Include:

 

• Provide clerical support to include:
  
  
  
  • Respond to client inquiries via phone/letter/e-mail.
    
  • Respond to customer requests for market quotes and money market rates.
    
  • Answer questions regarding account status, general financial investment information, litigation regarding stocks and mergers.
    
  • Web activation
  
  
  
  
• Open and maintain customer account information
  
• Compile, prepare, and verify various periodic reports to include:
  
  
  
  • Valuation statements on certain stock and bond portfolios
    
  • Capital gain/loss statements
    
  • Pension, profit sharing 401(k) reports and any other reports as requested that reflect the client’s activity and status
    
  • Reports to manager
  
  
  
  

• Respond to customer requests by searching statement information
  
• Draft routine letters to customers and banking personnel
  
• Review and resolve any discrepancies reported on the Streetscape report
  
• Perform any other duties as needed

Requirements:

Minimum Qualifications for the Registered Associate:

 

• Ability to work independently and effectively in pressure situations, and be highly organized.
  
• Effective human relations and communication skills, telephone etiquette.
  
• Attention to detail.
  
• Ability to effectively coordinate multiple tasks with time sensitive information.
  
• Ability to work in an automated/computerized environment
  
• Ability to work in team environment
  
• Successful completion of the NASD General Securities Representative (Series 7) Exam and Uniform Securities State Law Exam (Series 63) and Uniform Combined State Law Exam (Series 66)
  
• Attendance and adherence to the company’s attendance policy is an essential function of the job
  
• Working knowledge of the securities industry, its operations and its products to include stocks, bonds, various retirement plans, mutual funds, annuities.  As well as extensive background as a registered assistant with demonstrated proficiency
  
• Associate or Bachelor’s degree recommended

The Registered Associate must be technology savvy, friendly, able to multi task, be highly organized, exceptional attention to detail, efficient, good written and oral communication and works well in a team environment. 



SMITH HAYES offers excellent benefits and a friendly work environment!



You can apply by clicking the "Apply Now" button below, or fax your resume to: .