Job Description

• Utilizes securities related regulatory precepts and practices to review, analyze, and address escalated operational and service complaints from multiple sources, including branches and clients.
• Under general supervision, coordinates with contacts to develop, negotiate, and deliver verbal and written resolution to clients-including regular direct phone communications and written ad hoc correspondence.
• Manage, organize, and prioritize work pipeline and deliver work output within service level agreements, production standards, and quality expectations.
• Demonstrate high ethical standards and commitment to a positive customer experience.
• Learn from peers/partners and share knowledge, tactics, and solutions that leverage best practices and support efficiency.

• 5+ years of experience in one or a combination of the following: customer contact/service in financial services, administrative support, underwriting, quality assurance, brokerage operations, client account supervision, risk and compliance.
• Successfully completed FINRA Series 7 exam to qualify
• Must have at least 1 year of securities experience

• Motivated self-starter
• Able to perform duties with minimal supervision
• High attention to detail
• Excellent time management
• Effective communicator
• Acts with integrity

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