Securities Registration Not Required
Overall Function
The Associate Financial Representative (AFR) specializes in client service and supporting the financial representative as he/she focuses on building his/her practice and client relationships. An AFR also ensures the continuation of an efficient, effective and organized office. This individual is a liaison between the network office and home office as well as the financial representative and clients. Specific responsibilities may include but are not be limited to:
Support
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 appointments.
Answer and direct telephone calls as appropriate
Process client/prospect reservations for marketing events such as seminars and assist in the 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 form and maintain current client information
Monitor Daily Status Report and expedite any additional underwriting requirements
Communicate with home office, NMIS and fund families 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
Participate with the support of employing financial representative in various activities of the sales cycle for non-securities products
Develop and execute cross-selling plans for non-securities products
Contact clients, prospects and centers of influence for appointments and referrals to generate interest in non-securities related products
Meet with clients to complete non-securities insurance related applications
Initiate and perform sales of non-variable Additional Purchase Benefit (APB) and term conversions
Actively participate in conservation of existing non-securities business
Review insurance applications, conversions and policy changes for completeness and accuracy
Arrange medical, paramedical and any exams necessary for underwriting
Provide current status and account values for non-securities related accounts
Contact and advise clients regarding late payments and other non-securities sales and service related issues
Consult with clients on impact of changes to non-securities related products
Process incoming non-securities related insurance service requests from clients (address changes, bank change information, loan requests and ISA service inquiries)
Client Service Support | Variable Insurance/Annuity and Investments
Gather information for registered representative’s meeting with clients/prospects (prospectuses, annual reports, Morningstar reports) and enter data into planning software (non-asset allocation components only)
Prepare account summaries for variable and securities owners
Print 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 Registered Representatives direction, initiate fund/NMIS transfers, exchanges and redemption requests
Receive and forward checks and related paperwork to the network 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
Qualifications
Health and Life licensed or gain licensing within 6 months of employment
Financial Service or Insurance industry experience preferred
Associate Agent Contract required
Experience in administrative support or customer service, preferably in the financial services and/or insurance industry
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 proactively identify what needs to be accomplished and take action as appropriate
Has interest in learning on a continuous basis
Ability to embrace change and work in a fast-paced environment
Ability to work both independently and in a team
Ability to maintain confidentiality
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