Financial Representative Assistant

Posted: 07/05/2023

The financial representative assistant specializes in client service to ensure the maintenance of an efficient, organized office that allows the representative to focus his/her energy on building client relationships. The assistant is a liaison between the home office, financial representative, network office support team and clients. Specific responsibilities may include but are not limited to:

  • Handle case notes, process correspondence and maintain client case files
  • File new statements, account forms and other insurance/investment-related materials
  • Maintain financial representative’s calendar and schedule follow-up appointment
  • Answer telephone calls and direct them as appropriate
  • Process client/prospect reservations for marketing events such as seminars and assist in preparation of seminar materials and event mailings
  • Maintain supplies of current insurance/investment-related marketing materials
  • Input data, print proposals and gather information at direction of financial representative in preparation for client/prospect meeting
  • Contact clients to set up follow-up meetings with representative
  • Contact clients to confirm receipt of forms or request return of completed forms
  • Maintain current client information for all product lines
  • Monitor Daily Status Report (DSR) and expedite any additional underwriting requirements
  • Communicate with home office, NMIS and fund families as needed to supply or obtain information
  • Prepare/print letters of instruction for client signature
  • Prepare policies for delivery
  • Maintain check logs
  • Send client birthday cards and schedule birthday/age change appointments for representative
  • Generate lead letters and implement marketing programs
Client Service Support | Non-Securities PRODUCTS
  • Review insurance applications, conversions and policy changes for completeness and accuracy and return to representative for any missing information
  • Arrange medical, paramedical and any exams necessary for underwriting
  • Provide current status and account values for non-securities related accounts
  • Contact clients regarding late payments
  • Process incoming non-securities related insurance service requests from clients (process address changes, bank change information, loan requests and ISA service inquiries)
  • Prepare account summaries for variable and securities owners

Client Service Support | Variable Insurance/Annuity and Investments
  • Gather information for financial representative’s meetings with clients/prospects (prospectuses, annual reports, Morningstar reports).
  • Enter investment data into planning software (non-asset allocation components only) and distribute NMIS related forms to existing clients
  • Review variable insurance/annuity applications, conversions and policy changes for completeness and accuracy and return to registered representative (RR) if missing information
  • Review NMIS forms for completeness and return to RR if missing information
  • Arrange medical, paramedical and any exams necessary for underwriting
  • Monitor Items for Attention (IFA) and bring any action items to the RR’s attention
  • Complete order tickets and new account forms based on information obtained by RR
  • Identify need for switch letters and discuss with RR
  • At RR’s direction, initiate fund/NMIS transfers, exchanges and redemption requests
  • Receive and forward checks and related paperwork to the network office and home office investment operation areas
  • Work with network office, NMIS and fund families to resolve client account issues
  • Provide account values and performance to clients at the direction of RR
  • Experience in administrative support or customer service, preferably in the financial services and/or insurance industry
  • Health and life licensed or gain licensing within 6 months of employment
  • Excellent oral and written communication skills
  • Familiarity with Microsoft applications and data entry and information retrieval software
  • Demonstrated organizational and time management skills and ability to multitask, set priorities and meet deadlines
  • Strong attention to detail with the ability to work with a high degree of accuracy
  • Ability to work in a fast-paced environment
  • Ability to work both independently and on a team
  • Ability to maintain confidentiality
  • Continue insurance education through schools, academies, licenses, registrations and designations
  • Retirement
  • Health Insurance
  • Dental/Vision
  • Vacation/Sick Pay
If interested, please send any questions and resume to