When someone joins the Wealth Management Executive Office (WMEO), you will feel that this is a place where we promote work life balance, career progression, and a positive culture.
As an Executive Office Analyst II in the Wealth Management Executive Office (WMEO) team, you will research and resolve sales and non-sales practice client complaints, communicate resolutions to clients, and escalate matters as needed.
Job responsibilities:
- Research and resolve client complaints, including review of complaint correspondence and documents, account records, and recorded customer interactions and interviews of clients, registered representatives, or other Firm employees
- Communicate resolutions to customers verbally or via written response
- Ensure that potential complaint related FINRA filings are submitted to the Firm's Registration department for review
- Assist the Firm's Legal Department as needed with pending arbitration and/or litigation involving customer complaints
- Identify and escalate operational or sales conduct-related concerns
- Cross-train on Wealth Management Executive Office intake function and assist with intake of client complaints as needed
Required qualifications, capabilities, and skills:
- Bachelor's Degree
- Series 7 license
- 3+ years of securities industry experience
- High-level phone and verbal communication skills
- Advanced writing ability
- Knowledge of FINRA rules
Preferred qualifications, capabilities, and skills:
- Series 66, Series 9/10, 24, 53, 4, and Life and Disability licenses desirable
- Complaint handling experience preferred
- Experience communicating with clients over the phone strongly preferred.
*This is a Hybrid position which will require the incumbent to commute/work on site 3 days a week and work from home 2 days a week.