Client Services Associate

Job Description

Required Education: Bachelor’s/University degree Preferred Education: Master’s/University degree Required licenses: Active Series 7 & Series 66 (combo of 63 and 65) licenses Securities Industry Essentials – SIE - Active Series 7 & Series 66 (combo of 63 and 65) licenses (required)

THEY CANNOT HAVE A LAPSE OF TWO YEARS FROM PREVIOUSLY WORKING AT A FINANCIAL INSTITUCTION THAT HELD THEIR LICENSE…AS THIS WOULD CAUSE THE LICENSE TO EXPIRE

Must Have Skills/Attributes

• Anti Money Laundering (AML)
• Client services
• Communications Experience
• Servicing and Supporting our investment and/or Banking clients (5 yrs)
• Articulate the value proposition for our Private Client and digital program (5 yrs)

Required Experience And Skills

• Prior work experience in a related job that would provide a comprehensive understanding of activities, policies, procedures, and concepts of the work area.
• Understanding of multiple products across business lines combined with exceptional networking and relationship building skills.
• Excellent verbal and written communication skills.
• Ability to communicate at a professional level.
• Capable of working independently within established procedures and make decisions without manager approval.
• Able to perform multiple functions with a high degree of accuracy.
• Ability to support a diverse array of products and services.

Preferred Experience And Skills

• Relevant experience in Customer Service with emphasis in investments or investment-related products preferred.
• Basic understanding of investment and financial planning strategies preferred.
• Knowledge of Microsoft Office (Excel, Outlook, and Word) preferred.

Responsibilities

• Full accountability for servicing and supporting our investment and/or Banking clients.
• Able to clearly articulate business value proposition, matching clients with the correct set of products and services.
• Responsibly and professionally engage with clients to facilitate the transition of individuals whose needs are better aligned with digital solutions.
• Confidently articulate the value proposition for our Private Client and digital programs available.
• Directly responsible for providing timely responses to client service requests, received via telephone or email.
• Provides exceptional support and issue resolution– all client issues will be owned end to end by the associate and will be treated with a closed loop process.
• Ensures customer claims and complaints are handled in accordance with FINRA and firm policy.
• Refer opportunities to segment partners where appropriate (including, but not limited to Senior Wealth Advisor, Small Business Partners, Home Lending Officer, Digital Wealth Solutions, etc.)
• Manage client follow-up and adhere to all Regulatory and Compliance operating procedures
• Ensure that KYC/AML and other compliance norms are strictly adhered to
• Appropriately assess risk when business decisions are made, demonstrating consideration for the firm's reputation and safeguarding our firm, its clients, and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency.

Benefits

For information and details on employment benefits offered with this position, please visit here. Should you have any questions/concerns, please contact our HR Department via our secure website.

California Pay Equity

For information and details on pay equity laws in California, please visit the State of California Department of Industrial Relations' website here.

About the Role

Rose International is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, age, sex, sexual orientation, gender (expression or identity), national origin, arrest and conviction records, disability, veteran status or any other characteristic protected by law. Positions located in San Francisco and Los Angeles, California will be administered in accordance with their respective Fair Chance Ordinances.