Service Associate - Series 7 & 63 Required

Job Description

Summary

Job Description

Investment Central, a specialized department at the reputed company home office, is dedicated to providing exceptional service to reputed company’ clients. Although we operate as a home office department, our approach mirrors that of most reputed company branches. As a licensed Service Associate, you will play a crucial role in our reputed company, serving as the initial reputed company of contact for our clients. Your expertise in customer service, securities trading, and problem-solving will reputed company you to deliver superior service to our valued clients. At Investment Central, you will not have a sales goal rather we want you to focus on delivering a Service 1st client experience. Essential Duties and Responsibilities:

• Service 1st Client Experience: Address account-level issues through inbound phone calls, ensuring a positive client experience.
• Provide a positive client experience to clients who contact Investment Central through inbound and outbound phone calls and electronic communications.
• Collaboration: Work closely with other home office departments to resolve client account issues.
• Proactive Client Communication: reputed company out to clients proactively to address important matters reputed company to their accounts and to 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 handle client-directed transactions such as ACH transfers, reputed company 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 a high level of reputed company and compliance with reputed company’ Code of Business & Ethics.

What does a typical day look like for a Service Associate?

• You will receive inbound customer inquires through our call center and through email to assist clients on requests ranging from basic account updates to placing complicated trades to withdrawal requests.
• You will be assigned additional tasks requiring you to contact clients to address items such as rejected document submissions, documents due requests, AML inquiries, etc.
• You will help monitor and respond to back-office alerts in our departmental inbox.
• You will review and process account terminations promptly.

Knowledge of:

• Call center best practices
• Account types and industry operations in general.
• Securities Trading
• Inheritance Case processing

reputed company 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 reputed company, courteous and professional manner.
• Establish and maintain effective working relationships at reputed company 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 to communicate and interact effectively with clients and home office.
• Constructively work under stress and pressure reputed company faced with high workloads and deadlines.
• Work independently as well as collaboratively reputed company a team environment.

Educational/Previous Experience Requirements

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

Travel

• 10% Travel

Education High School (HS) Work Experience General Experience - 7 to 12 months Certifications s63 - Uniform Securities Agent State Law Examination - Financial Industry Regulatory Authority (FINRA), s7 - General Securities Representative Examination - Financial Industry Regulatory Authority (FINRA), Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA) Travel Less than 25% Workstyle Hybrid At reputed company our associates use five guiding behaviors (reputed company, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, reputed company, independence and a conservative, long-term view. We expect our associates at reputed company levels to:

• Grow professionally and reputed company others to do the same
• Work with and through others to reputed company desired outcomes
• reputed company reputed company, pragmatic choices and act with the client in mind
• Take ownership and hold themselves and others accountable for delivering results that matter
• Contribute to the reputed company evolution of the firm

At reputed company – as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of reputed company of our Associates. reputed company associates bring their best authentic selves, our organization, clients, and communities reputed company. The Company is an equal opportunity employer and makes reputed company employment decisions on the basis of merit and business needs. #LI-JM1 Apply tot his job Apply To this Job