FINRA Customer Service Representative III

Essential Job Functions

• Answers telephones and responds to highly complex customer questions and/or forwards call to appropriate personnel.
• Research customer inquiries and responds to appropriate parties in a timely manner.
• Records calls, processes requests and updates account history with results of inquiry to include proper documentation.
• Processes and distributes incoming and outgoing mail for multiple clients in accordance with established service level agreements.
• Performs data entry and matches documents to appropriate accounts to ensure up to date and accurate information.
• Interfaces with team members, management, and customers in reference to customer service issues.
• Supports escalation and resource calls and research and resolution work from front-line and back-office admin teams.
• Supports service recovery activities in managing multiple client call remediation and Voice of the Customer (VOC) survey feedback and escalations.
• Reviews client reports on a weekly basis to ensure data integrity; prepares and submits report to management.
• Reviews and recommends modifications to procedures and workflow as necessary to ensure efficient and effective processing of transactions.
• Monitors daily transactions to ensure policy and procedures are in accordance with service level agreement.
• Assists supervisor/manager with the day-to-day operations of the customer service area, including training and/or mentoring less experienced staff.
• Supports QA function for general service teams and enhanced QA review required for FINRA registered associates performing transactions on products with Variable investment feature (FINRA governed).

Basic Qualifications

• High school diploma or G.E.D.
• Six or more years of customer service or other telephone experience.
• Experience must include financial/investment/insurance or banking that required FINRA certification.
• Experience working with organizational functions and personnel.
• Experience working with fax machines, computer software, and telephone technology.
• Experience working with and skilled in the use of help desk software.
• FINRA 6 or 7 minimum Certification required at hire (currently registered or U5 within 2-year FINRA window).

Other Qualifications

• Strong business and analytical problem-solving skills.
• Strong communication skills.
• Ability to work independently.
• Ability to follow oral and written directions.

Work Environment

Office environment. May require shift work.