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Description

Job Summary:

Under general supervision, uses specialized knowledge and skills obtained through experience and/or formal training to assist branch offices and Financial Advisors in researching and resolving escalated issues. Recommends solutions to moderately complex problems. Extensive contact with internal customers.

Essential Duties and Responsibilities:

• Acts as a liaison between home office departments and the branch offices to research and resolve escalated issues regarding clients’ accounts communicated via phone, correspondence, email and online inquiries; follows the issue all the way through resolution and final communications.

• Determines best method to resolve issues to ensure client satisfaction and adherence to company policies.

• Follows up, either verbally or in writing, to ensure client satisfaction.

• Responds to incoming inquiries related to qualifications, instructions or paperwork requirements for various programs.

• Addresses inquiries pertaining to operational policies and procedures and relay policies that govern the procedures handled at the retail level.

• Communicates and coordinates with Registrations, Sales Management and Compliance Departments to monitor branch and Financial Advisor status.

• Reviews, maintains and documents weekly reports.

• Executes trades in the absence of the Financial Advisor.

• Corresponds with existing clients looking to trade their account that is designated as a house account until a new Financial Advisor is established.

• Performs other duties and responsibilities as assigned.

Qualifications

Knowledge, Skills, and Abilities:

Knowledge of:

• Basic office practices, procedures and methods.

• Account types and industry operations in general.

• Back office systems.

Skill in:

• Organizational and time management skills sufficient to prioritize workload, handle multiple tasks, and meet deadlines.

• Operating standard office equipment and using required software applications to produce correspondence, presentations, electronic communication and spreadsheets.

• Detail orientation to ensure quality standards are met without impairing workflow.

• Follow-up to ensure resolution and completion of tasks.

Ability to:

• Provide a high level of customer service in a calm, courteous and professional manner.

• Establish and maintain effective working relationships at all levels of the organization.

• Organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment.

• Use effective oral and written communication skills sufficient enough to communicate and interact effectively with Financial Advisors and branch associates.

• Constructively work under stress and pressure when faced with high workloads and deadlines.

• Work independently as well as collaboratively within a team environment.

Educational/Previous Experience Requirements

• High School Diploma or equivalent and three (3) years experience in the financial services industry, preferably including related service experience.

• Associates Degree Preferred

• OR

• An equivalent combination of experience, education, and/or training as approved by Human Resources.

Licenses/Certifications

• SIE required provided that an exemption or grandfathering cannot be applied.

• Series 7 License required.

Job: Investment Management

Primary Location: US-FL-St. Petersburg-Saint Petersburg

Organization Private Client Group

Schedule Full-time

Job Shift Day Job

Travel Yes, 10 % of the Time

Req ID: 2401960