General Summary

　　Responsible for extensive research and fulfillment with regard to existing client inquiries and problems, providing licensed back-up to investment executive, providing client and investment executive with product information and operational information pertaining to accounts and account set-up. Provides the operations functions for all brokers at Capital City Banc Investments (CCBI).

　　The individual in this position has access to confidential client information, and must practice discretion at all times.

　　Principal Duties and Responsibilities:

　　Daily Functions:

　　New account processing

　　Perform required follow-up necessary to ensure account is in order and approved through Sales Review. Create original file for Repand#39;s hub office. If Rep does not open account, CCBI will process.Set up EFT links, SWPs and PIPs.Act as back up for opening accounts with registrations not available on Streetscape.Provide instruction on proper documentation required for various accounts as well as instruction on proper account registration.Mail new account documentation to clients (updating accounts.)Perform required follow up on wire trades including matching order, execution, and confirm tickets, handling error correction through order desk, and researching items as needed. Forward completed tickets to Reps.

　　Conduct checks and securities processing, including follow up on legal items, stock transfers, and verification of account notices.

　　Process check requests, wire transfers, EFTs, and IRA distributions.

　　Send overnights to NFS, INVEST Operations and vendors, as necessary.

　　Research and handle Reg-T notices.

　　Notify Reps of all Reorg offers.

　　Read, understand, and disseminate any Operations bulletins that affect the functioning of the office.

　　Return all client calls forwarded from Repand#39;s office including perform research and fulfillment with regard to existing customer inquires and problems.

　　Process address changes for NFS and vendor accounts.

　　Act as back up for quotes, order entry, and account information when Rep doesnand#39;t have access to Streetscape, is with a client, on the phone, or out of the office.

　　Process closed accounts, coding file for eventual destruction.

　　Weekly Functions

　　Proactively communicate with clients regarding all service needs, administrative requests, appointment/review scheduling, invitations, and to maintain overall client relationships.

　　Routinely maintain current client resource management tools (i.e. Redtail).

　　Assist Reps in creating a professional, secure and welcoming atmosphere.

　　Follow up on all direct trade applications including verifying proper funds or sub-accounts, direct deposit of interest payments, proper IRA coding, PIPand#39;s and SWPand#39;s.

　　Analysis of moneylines to eliminate debits, credits, and make Reps aware of opportunities. Forward highlighted moneylines to Reps.

　　Verify that annuities are linked to active NFS accounts.

　　Follow up and broker notification for TOAand#39;s.

　　Order necessary office supplies.

　　Research undeliverable mail, maintain lost client statements for eventual abandoned property.

　　Correct misdirected vendor statements.

　　Periodic Functions

　　Organize year-end statements for 2-year retention in Repand#39;s hub office.

　　Follow up on firm element CE to be sure that Reps have completed.

　　Coordinate Insurance CE for Reps.

　　Maintain database of state licenses among Reps for handling of out-of-state clients.

　　Reassign clientand#39;s accounts including NFS and vendor changes.

　　Mutual Fund denetworking.

　　Revenue/Referral report.

　　Provide bank personnel figures for their reports.

　　At year end, assist in the successful completion of client RMDand#39;s.

　　Marketing Functions

　　Introduction letters for new Reps.

　　Assist with regular mailings including newsletters, CBBI marketing pieces, and birthday cards.

　　Order busi ess cards, letterhead, and envelopes for all Reps.

　　Coordinate special marketing initiatives including:

　　Holiday cards/lettersThank you notes/lettersPortfolio review lettersFinancial planning lettersEducation planning lettersProduct specific marketing.Assist in coordinating seminars and client appreciations.

　　All associates must understand and adhere to the non-negotiable Banker Standards and commit to practicing SGNNT at all times. Associates will consistently follow policies and procedures as established by Capital City Bank, with department managers setting the standard.

　　Associated Duties:

　　Provides additional support to manager and department colleagues.

　　EOE/Protected Veterans/Disabled/Drug Free