Responsible for the day-to-day operations and administrative functions of the branch.
Work with Branch Manager and Financial Consultants to communicate solutions either directly or indirectly with clients.
Identify and refer lead opportunities to Financial Consultants.
Acts as an onsite dedicated service expert on a wide range of client issues. Researches and resolves client issues in cooperation with back office partners.
Adheres to all compliance/risk procedures and follows corporate and industry protocols.
Assist Branch Manager in performing daily key compliance and oversight activities for the branch.
Participate in projects to improve processes and enhance the client experience
Perform duties with confidence, minimal supervision and sound judgment to mitigate risk for the firm.
Research and resolution of complex client inquiries via phone, cases, and chat
What you have
A valid and active Series 7 license is required (license may be obtained under a condition of employment through Branch Network Licensing Program)
A valid and active Series 63 license is required (license may be obtained under a condition of employment through Branch Network Licensing Program)
1 year of Client/Customer Service experience preferred
Demonstrated experience handling client needs with tact and diplomacy
Outstanding written and oral communication skills
Ability to work independently and effectively as part of a team, while handling multiple tasks and responsibilities simultaneously
Ability to manage multiple client situations, needs and inquiries simultaneously
Ability to build and maintain good cross-enterprise working relationships
Basic understanding of brokerage regulations and rules that govern client accounts preferred
