Overview
This role is responsible for providing a superior customer service experience as the first point of client contact for questions related to client accounts. The work includes servicing incoming client inquiries, assisting with account maintenance and transactions, and supporting client loyalty through responsive, accurate service.
Schedule
- Monday-Friday, 10 am to 7 pm Central Time
- Remote opportunity
Responsibilities
Service-Oriented Client Support (70%)
- Service incoming phone calls and emails from clients in a professional manner within service level goals
- Demonstrate effective core competencies during each stage of a call by connecting with clients, asking open-ended questions, and listening to uncover client needs
- Provide comprehensive client service and account management, including:
- Execute trades on client account opening requests (e.g., purchase of mutual funds or other brokerage products)
- Facilitate customer asset transfers into the bank and perform required account maintenance
- Provide general and specific information on accounts and products, transaction status, and related details upon request
- Respond to web navigation queries, assist with online trade execution, and provide basic technical assistance as required
- Process account opening and account maintenance, working with clients to accurately complete required documentation
- Use a client relationship management system to track activities and contacts
- Identify referral opportunities to Financial Advisors and internal bank colleagues during client conversations in alignment with client segmentation strategies
- Participate as required in outbound calling campaigns to grow investment business
- Act as a secondary contact to service individual client requests when their assigned Financial Advisor is not available
- Provide customized, comprehensive service to clients in the mass market segment
- Support service requests based on investment solutions from a product set including mutual funds, fixed income, certificates of deposit, managed asset allocation program, insurance products, fixed annuities, variable annuities, and life insurance
- Resolve client issues or concerns quickly and effectively to retain relationships and build future opportunities for growth; immediately share all formal complaints with the Manager and/or Compliance Officer
- Maintain strong knowledge of and act as a resource on software including LPL’s ClientWorks, SalesForce, and Moneyguide-Pro
Risk Management (30%)
- Maintain strong knowledge of target investment products and solutions, regulatory requirements, and competitive trends to provide credible client service
- Perform service activities in compliance with firm and regulatory requirements and policies to mitigate risk to BIS Financial Advisors
- Adhere to the guidelines in the Compliance Manual for BIS Financial Advisors
- Conduct business in accordance with rules and regulations of entities that regulate the banking and brokerage industry (e.g., NASD, SEC, Federal Reserve, Internal Audit)
- Maintain accurate client and transaction records as required by the firm and regulatory authorities and consistent with the products sold to the client
- Utilize approved marketing literature to mitigate risks and exposure
Requirements / Knowledge
- Minimum 2–3 years of successful experience with a customer service focus in the financial planning, securities, or insurance industry
- Valid and active SIE, Series 7, 66 (or 65 + 63) is required
- Series 65 obtained within 6 months of employment
- Bachelor’s degree preferred with emphasis on finance or economics
- Basic knowledge of a Financial Planning process
- Solid knowledge of markets and investment products
- Strong working knowledge of the financial industry
- Experience working with managed products and/or financial planning services
- High level of integrity (Clean U-4)
Skills
- Strong customer service and communication skills
- One-on-one and group presentation skills
- Excellent problem-solving skills
- Demonstrated ability to refer financial opportunities
Compensation & Benefits
- Salary: $42,000.00 - $80,000.00
- Pay type: Salaried
Salaries vary based on factors such as location, skills, experience, education, and qualifications for the role, and may include a commission structure. For commission roles, the salary listed above represents the expected target for the first year in this position.
Total compensation may also include performance-based incentives, discretionary bonuses, and other perks and rewards. Benefits may include:
- Health insurance
- Tuition reimbursement
- Accident and life insurance
- Retirement savings plans
Location
Remote (work schedule is Monday-Friday, 10 am to 7 pm Central Time).