Securities Advisor II

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POST DATE 9/10/2016
END DATE 10/15/2016

M & T Bank Buffalo, NY

M & T Bank
Buffalo, NY
AJE Ref #
Job Classification
Full Time
Job Type
Company Ref #
Mid-Career (2 - 15 years)
Bachelors Degree


The Opportunity:
Provide customer service and systems support to M&T Securities sales force, M&T Operations and M&T Bank personnel. You will interact with sales force, M&T Operations, Compliance and M&T Bank personnel on a regular basis while demonstrating sound knowledge of the securities markets and current events. Must possess working knowledge of FINRA regulations. Must be able to communicate effectively with both internal and external clients. Interaction with external clients will take place on a contingency basis or when deemed necessary by management.

Primary Responsibilities:
Support a wide range of investment products and maintain a high level of expertise in M&T Securities, Insurance and FINRA operational policies and procedures.
Provide guidance to Financial Consultant and Dual Employees on M&T Securities products and procedures.
May assist Financial Consultant or Dual Employee in structuring account to ensure account is in accordance with clients objectives.
Works with vendors to adjust product offerings to accommodate customer requirements.
Works with Financial Consultants and Dual Employees to ensure accurate account registration, resolve product issues, and customer complaints. May interact with customer directly.
Ensures compliance with state and federal regulations.
Demonstrate a high level of skill in systems navigation and trouble-shooting in order to provide systems support.
Provide outstanding customer service including the ability to handle challenging internal sales people and overcome objections.
Good working knowledge of FINRA and Insurance regulations.
Basic knowledge of Suitability, CIP and Risk Ranking requirements as it pertains to new accounts and investments.
Communicate requirements for all types of new account scenarios and maintenance requests while abiding by operational policies and procedures.
Interact with sales force and/or external clients demonstrating sound knowledge of the securities markets and current events.
Demonstrate skills equivalent to a functional expert in all aspects of securities back office operations.
Provide guidance to sales personnel based on current compliance and securities regulatory requirements.

Minimum Qualifications Required:
Bachelors Degree, or in lieu of degree, four years' of professional work experience.
Minimum of five years customer service experience.

FINRA Series 6 Licenses required within 4 months of employment & 63 License required within 8 months.
Working knowledge of computers and software (Excel, Microsoft word and Internet Explorer). Must have strong navigational skills and have the ability to use multiple applications at once. Strong trouble-shooting skills.
Must have strong customer service skills and upbeat attitude.
Excellent verbal and written communication skills.
Ability to interact with all levels of personnel and management.
Must have the ability to work as a member of a team.
Must have strong problem resolution skills and have the ability to multi-task.
Must have the ability to identify proper resources to perform a task or provide support.
Must have knowledge of compliance and securities regulatory authority guidelines.
Ideal Qualification Preferred:
FINRA Series 7 or 24 License. Minimum 2 years investment or banking experience
Knowledge of department systems such as NetX, Hogan, Compass.
Knowledge of mutual funds and annuities.

M&T Bank Corporation is an Equal Opportunity/Affirmative Action Employer. M&T Bank Corporation does not sponsor individuals for the purpose of obtaining H-1 Visas. M&T Bank Corporation has policies and procedures in place to promote a drug free workplace.