Registered Service Associate - 7 & 63 Required
About the position Responsibilities • 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. • Work closely with other home office departments to resolve client account issues. • Reach out to clients proactively to address important matters related to their accounts and to follow up on other items. • Execute client-directed trades across various asset types, including mutual funds, fixed income, and stocks. • Regularly handle client-directed transactions such as ACH transfers, wire transactions, and journal requests. • Manage a diverse range of accounts, including trust accounts, estate accounts, and entity accounts. • Execute trades based on verbal instructions. • Perform Mass Moves (entire book of business transfers) for Transitioning and Terminated Financial Advisors. • Perform other duties and responsibilities as assigned. Requirements • High School Diploma or equivalent and three (3) years experience in the financial services industry, preferably including related service experience. • SIE required provided that an exemption or grandfathering cannot be applied. • Series 7 and 63 licenses required. Must be licensed in All 50 States. Nice-to-haves • Associates and/or Bachelor's Degree Preferred but not required. Apply tot his job