Job Summary:

Under general supervision, uses specialized knowledge and skills obtained through experience and/or formal training to assist Home Office associates and their direct family members in researching and resolving escalated issues. Recommends solutions to moderately complex problems. Extensive contact with clients via phone.

Essential Duties and Responsibilities:

• Acts as a liaison to Home Office associates and their direct family members 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 Home Office departments to resolve issues related to client accounts.
  • Reviews, maintains and documents weekly reports.
  • Executes trades in the absence of the Financial Advisor.
  • Performs other duties and responsibilities as assigned.
  

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 Home Office associates and their direct family members.
• 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 and/or Bachelor’s Degree Preferred but not required.
• 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 and 63 Licenses required.