Job Abstract

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.