Brokerage Services Registered Analyst - Series 7/63 - Remote

Overview

The Investment Client Services Analyst (Series 7/63) is a licensed, client-facing role responsible for supporting clients and registered financial representatives with investment account questions, performance inquiries, and securities transactions.

This position requires strong investment product knowledge, the ability to de-escalate complex situations, and ownership of issues through resolution. The analyst also contributes to continuous improvement efforts, embraces new technology, and educates clients and field partners on digital/self-service capabilities to strengthen relationships and support client retention.

Responsibilities

• Provide consultative service to clients and advisors on a variety of investment concepts
• Serve as a point of expertise on multiple areas, including mutual fund trading, brokerage account servicing, cost basis, and tax reporting
• Apply industry knowledge to complex problems and build critical thinking skills
• Collaborate with department leads and business partners to drive product enhancements
• Work in a dynamic setting to continuously learn new concepts and help others navigate change in the industry
• Act as a primary point of contact for assigned investment home office clients, addressing inquiries regarding investment accounts and products
• Analyze, input, and review investment transactions, including trade executions, transfers, and account maintenance, ensuring accuracy and compliance
• Stay up to date on industry trends, investment products, and regulatory requirements to support knowledgeable responses to clients and internal stakeholders

Requirements

• FINRA Series 6 or 7 and 63-equivalent licenses (65 or 66)
• Associate’s degree in business or related field, or equivalent combination of education and experience
• Minimum of 3 years related financial services experience with advanced customer service, written, and verbal communication skills
• Intermediate understanding of tax implications related to investments
• Strong desire to continuously learn and improve
• Strong problem-solving and scenario-evaluation skills with ability to provide solutions

Skills

• Customer Support: Captures customer information for inquiry and analysis in an organized, clear, and consistent manner; uses customer intelligence to solve problems, support informed decisions, communicate with customers and the field, and resolve complaints efficiently
• Root Cause Analysis & Decision Quality: Identifies fundamental causes of issues using problem-solving methods and makes timely, data-driven decisions
• Analytical Thinking: Organizes and compares information to identify complex underlying issues through quantitative data and analysis; considers multiple perspectives and seeks process improvements
• Data Security: Protects customer privacy and confidentiality, maintains appropriate access to private data, and follows applicable legal and regulatory requirements for data management
• Client Advocacy: Translates customer issues and pain points into requirements; represents clients’ best interests and communicates feedback to product teams and relevant stakeholders
• Investment Products: Applies knowledge of investment products, financial markets, investment concepts, and related regulations while considering customer needs, market trends, and cross-functional partnerships
• Compliance: Applies organizational standards, policies, processes, and procedures to ensure regulatory requirements are met

Additional Licensing/Classification Note

This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting. Series 63 - FINRA, Series 7 - FINRA, SIE - FINRA.

Compensation & Benefits

• Pay Range: $23.11 to $34.66
• Geographic Specific Pay Structure: Structure 110; Structure 115

Final salaries are based on multiple factors, including skills and experience of the candidate, current market conditions, location of the candidate, and other factors identified during the hiring process. If living in California, New York City, or another eligible location, geographic specific pay structures, compensation, and benefits may be applicable.

Location

Compensation may vary by geographic location as outlined in the geographic specific pay structure. If you are living in California, New York City, or other eligible location, geographic specific pay structures, compensation and benefits could be applicable.