LOCATION: CA-REDWOOD CITY-REDWOOD CITY
SALES ASSISTANT II-IV
USA - Compass Bank dba BBVA Compass
At BBVA, we are leading the transformation of global banking with the aim of bringing the opportunities of this new era within everyone's reach. We are a global financial institution present in 30 countries with over 75 million customers. We are a bank with over 126,000 employees across the world and every one of those employees is leading and designing his/her professional career with the help of tools provided by the organisation to make that happen.
Corporate responsibility is an intrinsic part of our business model, promoting inclusion and financial education while supporting research and culture. Being part of BBVA means developing your career in one of the most innovative companies in finance.
We started out with the spirit of helping others make the best financial decisions. That spirit remains with us today and encourages us to keep moving forward, prioritising innovation and digital transformation so that we can bring the opportunities of this new era within everyone's reach.
Our values define our identity; they are what drives us to make our goals a reality and they guide all of our actions and the decisions we make.
- The customer comes first.
- We think big.
- We are one team.
The central focus of this position is to provide direct assistance to the Personal Investment Officers (PIO), Financial Advisors (FA), Personal Mortgage Banking Officers, and their clients and sharing the responsibility of the investment function, assuring compliance with securities regulations and safe, sound banking practices.
Assist the Investment Officer when opening new customer accounts, assuring that all required information and documentation are provided and that the file is complete. Open and sort incoming mail and interdepartmental correspondence. Includes sorting and filing completed documents returned from clients and Investment Operations; maintaining a central file of all statements, resolving reason for returned mail items, and sorting and routing of Officer’s daily commission and activity reports.
Accept buy and sell orders over phone for Liquid Asset Account and Alliance Money Market Accounts. This includes verifying availability of money on sell orders and trading authority of person calling in trade. Resolve purchases and sales related problems. Includes communication with Investment Officers and Investment Operations to discover error and follow-up to ensure the resolution.
Assist Investment Officers with documentation requirements, including transaction posting in client books, attaining proper documentation for any changes to an a client’s account i.e. settlement instructions for purchases and disbursements; address changes; account updates; and objective changes. Provide back-up for other Sales Assistants in all aspects of their positions, within licensing constraints.
High School Diploma or General Education Degree (GED) required with Five (5) years of securities industry experience. Work experience may NOT substitute for education requirement.
Required: None required
Preferred: None preferred
Note: This job has multiple levels (i.e. I, II, III, etc.). The posted job description includes the qualifications associated with the entry level position. If hired, you may be placed at a level above the entry level position. The level of placement will be based on experience, education and skills.
For those Sales Assistants holding a Series 6 or 7 license, accept buy and sell orders for securities as well as answer customers’ questions regarding these securities. This includes giving quotes and discussing the specifics of different securities, complying with securities regulations and sound banking practices at all times.
Must use sound judgment in dealing with Investment Officers and clients. Assure that compliance with securities regulations and sound banking practices are followed. Alert manager of deviations from these regulations.
Assure compliance with applicable security regulations and safe, sound banking practices by attaining a strong working knowledge of trading policies and procedures.
Must meet credit history and criminal background requirements associated with Financial Industry Regulatory Authority registration process, to include FBI fingerprint criminal history, review of credit report, civil litigation, liens, and other public records.
Note: Required to meet credit history and criminal background requirements associated with Nationwide Mortgage Licensing System and Registry registration process, to include FBI fingerprint criminal history report and review of credit report
Note: Must meet credit history and criminal background requirements associated with Financial Industry Regulatory Authority registration process, to include FBI fingerprint criminal history, review of credit report, civil litigation, liens, and other public records
At BBVA, we are proud to be a company that prioritizes diversity, inclusion and equal opportunities, regardless of the race, age, gender, ethnicity, disability, religion or sexual orientation of our employees and collaborators. Corporate responsibility
is an essential component of our business model, as we promote financial education and support research and culture.
Being part of BBVA means developing your career in the company that is leading the transformation of the financial sector.
Pay Transparency Policy Statement
The contractor 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. However, employees who have access to the compensation information of other employees or applicants as a part of their essential job functions cannot disclose the pay of other employees or applicants to individuals who do not otherwise have access to compensation information, unless the disclosure is (a) in response to a formal complaint or charge, (b) in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or (c) consistent with the contractor's legal duty to furnish information (41 C.F.R. 60-1.35 (c)).
Individuals with Disabilities
BBVA Compass, BBVA Securities Inc., and BBVA S.A. New York Branch invite all interested and qualified applicants to apply for employment opportunities. If you are a U.S.-based job seeker with a disability who is unable to use our online tools to search and apply for jobs, please contact us by emailing: firstname.lastname@example.org or by calling toll-free (in the U.S.) 1-844-664-9275. Please indicate the specific type of assistance needed*.
*The disability access telephone line and email address are reserved solely for job seekers with disabilities requesting accessibility assistance or an accommodation. Please do not call about the status of your job application if you do not require accessibility assistance or an accommodation. Messages left for other purposes, such as following up on an application or non-disability related or technical issues, will not receive a response.
BBVA Compass, BBVA Securities Inc., and BBVA S.A. New York Branch have a firm and unwavering policy to provide equal employment opportunity without regard to age, citizenship, color, disability, ethnic origin, gender, gender identity and expression, marital status, nationality, national origin, race, religion, sexual orientation, genetic predisposition, protected veteran status, or any other status or classification protected by federal, state or local law. This policy includes all job groups, classifications and organizational units. With regard to employment, this policy extends to applicants and covers our recruiting, hiring, promotion, transfer, demotion, discipline, termination, benefits, compensation and training practices as well as social and recreational activities.
View the "EEO is the Law" & "View the EEO is the Law Supplement Poster" poster. BBVA Compass, BBVA Securities, Inc., and BBVA NY are equal opportunity and affirmative action employer.