Job Summary

Provides support to all SSI Financial Advisors/Private Wealth Advisors/Investment and Administrative Associates in the areas of trading, trade errors, research, training, products, operations, compliance and accounting. Serves as SSI Principal. Must be able to independently resolve issues without direction. Accepts and places trades and moves money in the absence of the Advisor. Displays diplomatic abilities as a liaison between the sales force and clearing firm. Interacts with senior management and provides feedback on training needs and quality of service provided to clients. Provides support for external clients accessing the SSI on-line portal. Provides investment consultation to Premier Brokerage clients with regards to product selection. Adheres to applicable laws and regulations governing the sale of securities.

Job Duties and Responsibilities

• Financial Services / Securities Principal - Reviews and approves new brokerage and advisory investment accounts. Ensures that the type of account recommended by a Financial Advisor fits the financial and suitability status of the client. Reviews trade details as required by FINRA and the SEC and processes exceptions and corrections as required. Releases, holds or rejects trades that have been sent to the marketplace for execution. Processes trade errors including researching and reconciling all error corrections for refunds or debits and follows through with Regional Managers, accounting and the clearing firm.
• Self Directed Unit Support - Supports internal and external clients with their investments. Troubleshoots technical issues with using our on-line portal, Wealthscape Investor, to resolve requests with accessing the site, placing trades, moving money, accessing research, etc. Utilizes the standard Customer Care Cisco Finesse desktop agent.
• Financial Advisor - Provides investment consultation to Premier Brokerage clients regarding to products and research, helping clients meet their financial goals. Determines proper strategy based on risk tolerance. Keeps abreast of securities markets and financial news for areas of opportunity and advises SSI clients.
• Each team member is expected to be aware of risk within their functional area. This includes observing all policies, procedures, laws, regulations and risk limits specific to their role. Additionally, they should raise and report known or suspected violations to the appropriate Company authority in a timely fashion.
• Performs other related duties as required.

The information on this description has been designed to indicate the general nature and level of work performed by employees within this classification. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities, and qualifications required of employees assigned to this job.

Synovus is an Equal Opportunity Employer supporting diversity in the workplace

Minimum Education:

• Bachelor's degree in related discipline or an equivalent combination of education and experience.

Minimum Experience:

• Five years of experience selling and promoting various investment products.

Certifications:

• Series 7, 66, Insurance License

Required Knowledge, Skills, & Abilities:

• Knowledge of insurance operations, industry standards, as well as laws and regulations governing the sale of insurance.
• Broad knowledge of pertinent securities market and investment vehicles.
• Broad knowledge of securities trading patterns and market trends.
• Knowledge of sales tactics and techniques.
• General knowledge of bank products and services.
• Proficiency using a Microsoft Office suite of products.
• Strong analytical skills and the ability to identify root information.
• Strong oral and written communication skills, and the ability to communicate effectively verbally and in writing.
• Organizational skills and the ability to maintain accurate and easily accessible records.

Preferred Knowledge, Skills, & Abilities:

• Series 4
• CPA, CFP, or CFA designations