Investment Client Care Brokerage Services Representative

Job Title

This is an on-site position. Location options are Charlotte, NC; Orlando, FL; Atlanta, GA. Brokerage Service Representatives are a part of Investment Client Care (ICC) which acts as the service support team for Self-Directed, Centralized Advisor Center (CAC) assigned and Signature Advantage brokerage clients via phone. Teammates are responsible for answering client inquiries with a professional attitude and manner while adhering to measurable departmental goals.

Essential Duties and Responsibilities Following is a summary of the essential functions for this job. Other duties may be performed, both major and minor, which are not mentioned below. Specific activities may change from time to time.

• Provide service support via phone to self-directed brokerage clients as well as Financial Advisor assigned account holders, referring more complex issues to management for guidance and/or resolution.
• Proficient understanding of product knowledge and continuously developing client service skills.
• Research account and transaction records to resolve discrepancies, answer questions or provide documentation on client activities.
• Conduct outbound client calls as a follow up and resolution to inquiries.
• Assist clients with completing investment forms, transferring funds, and completing distributions.
• Answer inquiries related to tax documents, trade confirmations, and monthly investment statements.
• Act as priority contact number for assisting clients with questions regarding the Digital Investment platform (currently WealthScape - future Scivantage).
• Refer investment opportunities to internal Client Advisory Center when aligns with clients financial needs.
• Maintain knowledge of industry regulations related to products and continuing education requirements required by FINRA.
• Serve as an advocate of the client while balancing risk.

Required Qualifications: The requirements listed below are representative of the knowledge, skill and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

• Hold FINRA Series 7 & Series 63 or 66 and maintain continuing education coursework to keep licenses in good standing. (Candidates will be considered if they have at least 1 of the required licenses and can obtain the additional licenses during employment)
• Proficiency in written and verbal communications
• Proficient using basic computer applications, such as Microsoft Office software products
• Two or more years of call center experience or high volume, fast paced work environment
• Experience with brokerage and digital applications such as WealthScape, Advisor Desktop, Cashiering, SNAP, and Channelink
• High school diploma or equivalent certification

Preferred Qualifications:

• Bachelor's degree in relevant banking/business field
• Two or more years of Investment Industry knowledge and/or experience
• Additional FINRA and Insurance Licenses