Position Goals:
Provides administrative, operational, sales and service support for assigned Investment Consultants within the First Merchants Investment Services Team.

Essential Duties and Responsibilities:

Business Management
1. Review and act upon items for attention from broker / dealer (Cetera)
2. Monitor incoming and outgoing transfers
3. Process death claims
4. Assist with 1099s and other tax time issues
5. Communicate and process client Required Minimum Distributions (RMD)
6. Review of insufficient funds for periodic distributions
7. ACH maintenance
8. Manage and maintain client withdraw/ deposit requests
9. Beneficiary updates/ personal information updates (with Cetera & Product sponsors)
10. Cost basis information
11. Filing client documents

Client Service
1. Place unsolicited trades & securities received
2. Complete necessary documentation to handle the processing of trades
3. Meet with clients to obtain client and/or advisor signatures
4. Establish online access to financial planning software or other pertinent websites
5. Schedule client review appointments
6. Handle phone calls & emails; respond appropriately to client needs
7. Communicate with product partners on behalf of the client and/or Investment Consultant

Business Development
1. Assist in preparation of documents for account opening, transfer of assets, etc.
2. Annuity Net Order Entry (when applicable/ necessary)
3. Review items for attention
4. Establish ACH and or Periodic / Systematic deposit
5. Scanning and submitting new account documentation (when applicable / necessary)
6. Filing new account documents
7. Assist in review of My Business Status
8. Confirm all direct accounts are linked to Cetera accounts

Administrative Support
1. Handle phone calls & emails; respond appropriately to internal/ external partners
2. Assisting Consumer Bank Employees with FMIS client issues, referrals & setting appointments
3. Maintain & Order Office Supplies
4. Meet with advisor to review instructions when preparing to meet with new clients.

Operational Support
1. Confirmation of daily ACH / settlements
2. Processing and filing of monthly transmittals to Cetera Principal Review Desk
3. Submitting marketing / advertising to compliance (business cards, stationary, signage, etc.)
4. Process regional incoming / outgoing mail
5. Maintain/ monitor check blotter
6. Assistance in maintaining compliance of all required FINRA files and documentation
7. Document all contact and actions taken with client in CRM

Position Requirements:
Education - High school diploma or equivalent (GED).
Experience - Over one (1) year of administrative, clerical or related experience.
Experience utilizing a Contact Management System (CRM)
Licensing- FINRA Series 6 License- Investment Company and Variable Contracts Products Representative within 6 months of employment
FINRA Series 63 License- Uniform Securities Agent State Law within 6 months of employment
Other - Proficient with Windows based software, including MS Word, Excel, and PowerPoint
Preferred Requirements:
Licensing- FINRA Series 7 License- General Securities Representative
FINRA Series 65 License- Uniform Investment Adviser Law
FINRA Series 66 License- Uniform Combined State Law

GED (required)
High School (required)

Proficient with Windows based software, including MS Word, Excel, and PowerPoint (required)
Experience utilizing a Contact Management System (CRM) (required)
Over one (1) year of administrative, clerical or related experience. (required)

Series 63 (required)