Branch Services Advisor

Job Summary

Under general supervision, assists branch offices and Financial Advisors (FA) with client needs by researching and resolving escalated issues associated with client accounts.

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.
• Fulfills the role of autonomous problem solver 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 relays 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.
• Affords assistance to branches and the Asset Management Services team to ensure independent branches meet requirements for specific advisory account types.
• Serves as the main point of contact for certain firm initiatives, changes, or unexpected events.
• Performs other duties and responsibilities as assigned.

Knowledge, Skills, And Abilities

• Basic office and branch practices, procedures and methods.
• Account types and industry operations in general.
• Back office systems.
• Consolidated Order Entry Main contact.
• 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.
• 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.

Qualifications

• Bachelor’s degree and two (2) years of service industry experience, preferably in the financial services field.
• SIE 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).

Pay Range

$25.24/hour - $33.65/hour

Benefits

• Medical
• Dental
• Vision
• 401K