TITLE: Wealth Operations Specialist

LOCATION: Headquarters

REPORTS TO: Vice President – Wealth Management

CLASSIFICATION: Full Time, Exempt

PAY GRADE: EX 55 ($58,459 – $85,000 annually)

AVAILABILITY: Monday-Friday 8:00am-5:00pm

Position Summary :

Responsible for general office operations as well as providing sales assistance for Wealth Advisors and other licensed Sales Representatives through a variety of responsibilities.

Essential Job Functions:

• Responsible for processing client paperwork received from Wealth Management personnel, as well as items received through the mail.

• Maintains client database on Branchnet/Clientworks and Salesforce, ensuring information is up-to-date and accurate.

• Composes and sends routine client correspondence in a timely fashion.

• Organizes and maintains file system, files correspondence and other records to meet regulatory and department requirements.

• Receives and processes deposits and requests disbursements.

• Assists in the generation of financial reports and preparing financial statements.

• Assists Wealth Advisors with compliance requirements.

• Answers and screens Wealth Advisors’ telephone calls and arranges conference calls.

• Coordinates Wealth Advisors’ schedules and makes appointments.

• Coordinates and arranges meetings, prepares agendas, reserves and prepares facilities, and records and transcribes minutes of meetings.

• Assists with seminars by preparing presentation materials and coordinating customer and prospect mailings.

• Calls clients for various reasons, including appointment confirmations and follow up.

• Greets scheduled visitors and conducts to appropriate area or person(s).

• Helps clients with miscellaneous questions and scheduling of appointments.

• Processes securities transactions when appropriate.

• Assists in business development and partners with other lines of business to enhance the client experience.

• Reads and routes incoming mail. Locates and attaches appropriate file to correspondence to be answered by Wealth Advisor.

• Prepares outgoing mail and correspondence, including email and faxes.

• Conducts research and compiles and prepares statistical reports.

• Ensures compliance with all applicable federal and state laws and regulations.

• Perform additional duties as necessary.

  Education & Experience :

• A high school graduate or GED required.

• Associate’s degree in Accounting, Business, or Finance desirable.

• Current New York State Life & Accident & Health insurance licenses preferred.

• Minimum of three years’ experience in a brokerage sales/service office required.

• Current FINRA Series 6 and 63 Licenses preferred.

• Current FINRA Series 7 License preferred.

  As an Equal Opportunity / Affirmative Action Employer, Pioneer Bank will not discriminate in its employment practices due to an applicant’s race, color, creed, religion, sex (including pregnancy, childbirth or related medical conditions), sexual orientation, gender identity or expression, transgender status, age, national origin, marital status, citizenship, physical and mental disability, criminal record, genetic information, predisposition or carrier status, status with respect to receiving public assistance, domestic violence victim status, a disabled, special, recently separated, active duty wartime, campaign badge, Armed Forces service medal veteran, or any other characteristics protected under applicable law.

  The Company will not discharge or in any other manner discriminate against employees or applicants because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant.