Position Summary

The associate will provide world-class customer service to our client base. The associate will ensure that all service requests are handled in a timely and accurate manner and if there are any issues they will work to resolve these and escalate on a case-by-case basis. The associate must work to ensure that all call quality standards are met and/or exceeded and will further work to ensure a high quality of customer service with each client interaction. The associate will identify cross-sell opportunities and uncover additional assets so as to generate leads for Financial Advisors in the Client Advisory Center, and when appropriate, will work to better understand client investment objectives and profile and better understand the client situation. The associate will then engage a Financial Advisor to decide next steps with the client. Additionally, the associate will adhere to stated metrics within the Client Advisory Center. The associate will be held accountable for helping to drive growth within our business be ensuring that they meet and exceed all stated metrics around asset growth and retention, accuracy, quality, timeliness and schedule adherence.

Duties and Responsibilities

• Servicing inbound calls for clients of the Client Advisory Center
• Reviewing client accounts
• Verifying order executions
• Working with clients to facilitate registered transactions
• Assisting clients with document requests
• Providing unsolicited stock quotes
• Answering general non-investment related questions concerning client accounts
• Providing account balances
• Resolving client inquiries
• Working with Client Advisory Center Operations personnel to resolve client issues
• Receiving inbound calls and servicing Client Accounts to include but not limited to: general client inquiries, stock quotes, facilitating registered transactions and ensuring that client requests are handled in a timely and accurate manner 80%
• Follow-up on Pending Client Requests
• Servicing Client Accounts via inbound call volume
• Provide world-class service and sales support and quality during each client interaction
• Listen to client requests and take measurable steps to complete tasks. Set expectations around meeting client requests and adhere to stated expectations
• Set appropriate timeline expectations for problem resolution
• Proactively engage clients to uncover any external assets and retain assets as necessary
• Qualify clients and forward potential leads to Financial Advisors
• Apply Firm verification policies for all clients to avoid identity theft
• Meet quality and Client Advisory Center metric standards
• Adhere to scheduled work times as states by management
• Adhere to all Firm policies and procedures
• Adhere to Firm compliance guidelines and Code of Conduct
• Utilize existing Client Advisory Center technology to record client interactions
• Follow up on outstanding requests
• Work with Client Advisory Center Operations personnel to ensure that client requests are fulfilled in a timely manner
• Set up instructions for processing outgoing check requests, wires and all other client distribution needs
• Follow-up with clients within expected timeframes if necessary
• Work with internal departments to see that client requests are satisfied in a timely manner
• Reach out to client to give status updates as needed

Additional requirements may include

• Series 7 mandatory
• Series 66 (63 and 65) preferred