Brokerage Services Registered Analyst – Series 6/7/63

Role Overview

• Provide advice, counsel, guidance and direction to clients and Registered Financial Representatives on the purchase and sales of securities.
• Executes mutual fund order transactions on behalf of Financial Representatives and clients.
• Determines customer financial needs, risk tolerance, suitability and understanding of the securities markets.
• Provide timely and accurate investment performance information, account statements, and investment-related queries to clients.
• Serve as a primary point of contact for NM Investment home office assigned clients, addressing inquiries regarding investment accounts and products.
• Analyze, input, and review investment transactions, including trade executions, transfers, and account maintenance, while ensuring accuracy and compliance.
• Handles phone and transactional responsibilities while adhering to strict confidentiality and privacy standards.
• Serves as a trusted advocate for our Financial Representatives and partners with them to meet the needs of our clients.
• Regularly promotes client retention and identifies opportunities for the field to build existing relationship, knows when to refer back to the field for follow
• up.
• Delivers a personalized and remarkable experience for our clients by answering their questions, providing servicing options and helping them with their products or services in a call center environment.
• Takes ownerships of calls and anticipates future issues to avoid repeat calls and unnecessary call transfers.
• Researches and evaluates possible solutions to complex problems that requires identifying root cause and deviation from procedures and handles escalation resolution.
• Fosters a professional relationship with our clients to enhance brand loyalty.

Requirements

• FINRA Series 7/63 Licenses
• Associates degree in business or related field or equivalent combination of education and experience
• Minimum of 4 years related customer service experience with proven customer service skills
• Expert knowledge of investment products or markets
• An expert understanding of tax implications
• Advanced written and verbal communication skills
• Ability to multi-task and handle high volume of calls/case load with the greatest possible degree of accuracy
• Strong organization skills with the ability to prioritize tasks
• A strong desire to continuously learn and improve
• Strong problem-solving skills and ability to provide options
• Demonstrated computer experience with solid keyboarding skills and proficiency with current software packages

Benefits

• Health insurance
• 401(k) matching
• Paid time off
• Flexible work arrangements
• Professional development