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Investment Represetnative in San Antonio, TX at APEX Systems

Date Posted: 2/13/2019

Job Snapshot

Job Description

Job #:  923880




I am reaching out to you to get a quick update to see where you might be in the job market. I have an Investment Representative position that I thought would align well with your background. I have included some details below for you to review. Feel free to give me a call at your earliest convenience to discuss (480-626-7255) or you can send me your resume at I look forward to hearing from you!


Large Fortune 100 company in the North Phoenix area are looking for Investment Representatives to join their team! Please reach out if you are interested and have both active licenses!


Candidates must have current and not expired Series 7 & 63 or 66 



  • Can you give me your top three skills in the order of importance and include the number of years of experience for each skill?
  1. Money movement – 1 year
  2. Investment transactions and servicing – 1 year
  3. Account security and fraud – 1 year


  • What are the three top technology tools that this resource must have knowledge using?
  1. Windows operating system
  2. Investment transaction software experience
  3. Phone experience with customers


  • What are the responsibilities that this resource will have on a day to day basis?
  1. Receives service requests for mutual fund, brokerage or college savings plan products from members through various member contact channels.
  2. Fulfills the member's request through appropriate channel.
  3. Applies foundational relationship building and referral skills by seeking opportunities to build, deepen, and retain the member relationship through multi-company products or services.
  4. Asks questions to discover key information and life events and to understand the member’s need, and documents relevant information.
  5. Recognizes verbal and/or written cues and potential opportunities to meet member needs through a product or service.
  6. Encourages member to take action to address needs and opportunities.
  7. Supports enterprise business goals through the achievement of individual referral and product acquisition goals.

General Service Responsibilities:

    • est/transactions to be handled.
    • Provide mailing address/payee information for contributions and forms.
    Discussing Portal/Shadow Basics and Authentication.
  • Update personal information on Portal.
  • Update member's Portal address, phone number, or email.
  • Statements and Tax Form Inquires.
  • Managing automatic investment plans.
  • Requests to send a mutual fund prospectus or CSP plan documents.
  • Advise members of Service Level Objectives (SLO) - time frame expectations for certain requ


General Tax Responsibilities:

  • Fielding tax form, dividend, cost basis, IRA distribution, and other tax related inquiries.
  • High level research on tax related money movement.

General CSP Responsibilities:

  • Providing CSP account balances information.
  • Make a contribution or withdrawal from their College Savings Account 
  • Change portfolio allocation/investment model.
  • Discussing CSP account activity through shadow.
  • Discussing CSP AIP plans (including guiding the member to update
  • High level research on CSP money movement .
  • Guiding members to self-service (including contributions and withdrawals).
  • Find a Ugift deposit.
  • Guiding a member to view statements and tax forms
  • Guiding the member on how to request changes:
    • Owner/beneficiary/successor owner change requests
    • Name change/update requests
    • Updating a SSN
    • Add or change the bank account
    • Add an interested party

Mutual Fund Service Responsibilities:

  • Mutual fund service calls, entering both simple and complex service transactions.
  • Make contribution or withdrawal from IRA mutual fund account.
  • Discussing IRA account activity.
  • High level research on mutual fund money movement.
  • Investment performance related questions.
  • Keying monetary transactions, money movement up to 250k.









EEO Employer

Apex is an Equal Employment Opportunity/Affirmative Action Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, age, sexual orientation, gender identity, national origin, disability, protected veteran status, or any other characteristic protected by law. Apex will consider qualified applicants with criminal histories in a manner consistent with the requirements of applicable law. If you have visited our website in search of information on employment opportunities or to apply for a position, and you require an accommodation in using our website for a search or application, please contact our Employee Services Department at 844-463-6178


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