Wealth Services Specialist

About the role

This role primarily provides account support services and trade execution to the WPB Premier client base, including advisor-led and Self-Directed via phone and email. The Specialist also supports inquiries from Wealth Centers and internal clients such as WRMs (Wealth Relationship Managers), Wealth Operations staff, Compliance and Sales Management.

Responsibilities

• Receive and execute domestic and international securities orders and provide accurate information and brokerage account servicing to clients, internal and external, and in multiple languages.
• Attend phone lines queues, service clients accordingly and efficiently within existing guidelines in both languages.
• Receive and execute buy/sell orders for equities, options, fixed income, structured products, mutual funds, and foreign currency.
• Perform account maintenance services upon client request.
• Initiate Forms (IRA distribution, ACH, Journal, etc.).
• Support clients for tax reporting needs.
• Support Premier brokerage trade inquiry/correction requests.
• Support Premier brokerage for corporate reorgs election completion.
• Support Middle Office and Operations on all trade related matters and reports.
• Support Sales Management and Regulatory Compliance.
• Respond to regulatory inquiries as needed.
• Receive, review, and analyze a variety of reports and documents for accuracy.
• Maintain proper desk activity record.

Requirements

• Experience in financial services industry or equivalent.
• Strong knowledge of investment products, markets, and traditional and non-traditional service providers as well as regulations affecting area of responsibility.
• Well-spoken and well written, with a people-focused attitude.
• Ability to manage multiple and changing priorities with tact, diplomacy, and confidentiality.
• Having a second language is a plus: Mandarin, Spanish, or Portuguese.
• Licensed Registered Representative, Series 7 and Series 66 mandatory, in addition S63/65 preferred.

Benefits

• Access to tailored professional development opportunities to ensure you have the right skills for today and tomorrow.
• Robust Wellness Hub.
• Industry-leading volunteerism policy.
• Generous matching gift program.
• Comprehensive program of immersive Sustainability and Climate Change Initiatives.
• Employee Resource Groups.