Service Associate - Series 7 & 63 Required

Overview

The organization is seeking a licensed Service Associate for Investment Central, a specialized home office department that provides client service similar to most branch operations. This role serves as a client’s initial point of contact, with a focus on delivering a “Service 1st” client experience (no sales goal).

Responsibilities

• Service 1st Client Experience
  • Address account-level issues through inbound phone calls to ensure a positive client experience.
  • Provide positive client experiences for clients contacting Investment Central via inbound/outbound phone calls and electronic communications.
• Collaboration
  • Work closely with other home office departments to resolve client account issues.
• Proactive Client Communication
  • Reach out to clients proactively regarding important account matters and follow up on other items.
• Trade Execution
  • Execute client-directed trades across various asset types, including mutual funds, fixed income, and stocks.
• Transaction Processing
  • Regularly process client-directed transactions such as ACH transfers, wire transactions, and journal requests.
• Account Variety
  • Manage a diverse range of accounts, including trust accounts, estate accounts, and entity accounts.
• Code of Business Conduct & Ethics
  • Uphold integrity and compliance with the organization’s Code of Business & Ethics.

Typical Day

• Assist clients with inbound inquiries from a call center and email, handling requests from basic account updates to placing trades and processing withdrawal requests.
• Complete additional tasks that require contacting clients about items such as rejected document submissions, document requests, and AML inquiries.
• Monitor and respond to back-office alerts in the departmental inbox.
• Review and process account terminations promptly.

Knowledge & Skills

• Knowledge of
  • Call center best practices
  • Account types and industry operations in general
  • Securities trading
  • Inheritance case processing
• Skills in
  • Organizational and time management 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 meet quality standards without impairing workflow
  • Follow-up to ensure tasks are resolved and completed
• Ability to
  • Provide high-level 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 with frequently changing priorities in a fast-paced work environment
  • Use effective oral and written communication skills to interact with clients and home office teams
  • Work constructively under stress and pressure when faced with high workloads and deadlines
  • Work independently and collaboratively within a team environment

Requirements

• Education/Experience
  • High School Diploma or equivalent
  • Three (3) years’ experience in the financial services industry, preferably including related service experience
  • Associate’s and/or Bachelor’s degree preferred but not required
• Licenses/Certifications
  • SIE required, provided that an exemption or grandfathering cannot be applied
  • Series 7 and 63 licensing required

Preferred Qualifications

• Associate’s and/or Bachelor’s degree
• Related service experience within financial services

Compensation & Benefits

• Total compensation includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions.
• Eligible for a benefits package that may include:
  • Medical, dental, and vision
  • Life insurance
  • Critical illness insurance and accident insurance
  • Disability benefits
  • Retirement savings
  • Paid time off (including vacation, holidays, and sick leave)
  • Parental leave
• Eligibility for benefits and specific offerings may vary based on position and employment status.

Location

• Workstyle: Remote
• Travel: Less than 25%

Additional Information

• The organization is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.