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David Careers

Branch Services Advisor (Wealth Management)

Posted 2 days ago

revolution technologiesSt Petersburg (FL)
Securities, Commodities, and Financial Services Sales AgentsPortfolio Management and Investment Advice

SENIORITY

Mid

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About the role

Contract - 6 months+Pay rate - 33/h on W2Opportunity for extension/conversion based on attendance/performance. Laptop provided
Job Summary: Under general supervision, uses specialized knowledge and skills obtained through experience and/or formal training to assist branch offices and Financial Advisors (FA) with their client needs by researching and resolving escalated issues associated with client accounts. Resolves and recommends solutions to moderately complex problems that arise with the FA’s, their clients, branch administration, and/or other departments.
Essential Duties and Responsibilities:
  • Acts as a liaison between home office departments and the branch offices 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.
  • Through analyzation, uses discretion and experience to autonomously resolve issues to ensure client satisfaction and adherence to company policies and procedures.
  • 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 Registrations, Sales Management and Compliance departments to monitor, identify and resolve issues requiring branch and FA escalation.
  • Acts as liaison for the branches by explaining the many different systems used and directing the FA to the appropriate systems needed.
  • Executes trades in the absence of the FA.
  • Assists branches and the Asset Management Services team to ensure independent branches meet requirements for specific advisory account types.
  • Serves as main point of contact for certain firm initiatives, changes, or unexpected events. Examples include changes to account fees, trade fees, statement and reports
  • Acts as the liaison for the Attorney of the Day process.
  • Maintains records of incoming calls, resolutions to the calls, and any contact to follow-up with branch personnel.
  • Responds to FA questions and concerns about the statements and confirms. Must understand and be able to interpret all products and information on various types of statements.
  • On a case-by-case basis, evaluates and determines approval for fee-waivers submitted by a branch.
  • Works with branches and advisors on the cost of doing business (trade related costs).
  • Acts as the main point of contact when BCP events arise for the independent branches.
  • Performs other duties and responsibilities as assigned. Knowledge of
  • Basic office and branch practices, procedures and methods.
  • Account types and industry operations in general.
  • Back office systems.
  • Consolidated Order Entry Main contact. 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 Financial Advisors and branch associates.
  • Constructively work under stress and pressure when faced with high workloads and deadlines.
  • Handle situations that require de-escalation in high volume circumstances.
  • Multi-task between several different functions daily.
Education:
  • Bachelor’s degree and two (2) years of service industry experience, preferably in the financial services fieldSIE required at a minimum
  • Series 7 License or ability to obtain within 120 days upon conversion to FTE (if applicable)
  • Series 63 License or ability to obtain within 120 days upon conversion to FTE (if applicable)

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