Brokerage Services Registered Analyst - Series 7/63 - Remote
$48,069–$48,069 year
On-siteFranklin, Wisconsin, United States
Job Summary
Provide consultative service to clients and advisors on investment concepts, acting as a point of expertise on mutual fund trading, brokerage account servicing, cost basis, and tax reporting. Analyze, input, and review investment transactions including trade executions, transfers, and account maintenance while ensuring accuracy and compliance. Serve as the primary point of contact for assigned clients, addressing inquiries regarding investment accounts and products. Collaborate with department leads and business partners to drive product enhancements and educate stakeholders on digital capabilities. Stay current on industry trends, products, and regulatory requirements to support knowledgeable client and internal stakeholder interactions.
Required Qualifications
- FINRA Series 6 or 7 and 63-equivalent licenses (65 or 66)
- Associates degree in business or related field or equivalent combination of education and experience
- Minimum of 3 years related financial services experience
- Advanced customer service skills
- Advanced written communication skills
- Advanced verbal communication skills
- Intermediate understanding of tax implications related to investments
- Strong problem-solving skills
- Scenario-evaluation skills
- Ability to provide solution
- Fingerprinting
- Series 63 - FINRA
- Series 7 - FINRA
- SIE - FINRA
- Analytical Thinking (NM) - Advanced
- Teamwork (NM) - Advanced
- Compliance (NM) - Advanced
- Escalation Management (NM) - Advanced
- Change Adaptability (NM) - Advanced
- Financial Services Industry Acumen (NM) - Advanced
- Root Cause Analysis & Decision Quality (NM) - Advanced
- Investment Products (NM) - Advanced
- Prioritization (NM) - Advanced
- Policy & Procedure (NM) - Advanced
- Customer Support (NM) - Advanced
- Tax Awareness (NM) - Advanced
- Field Relations (NM) - Advanced
- Client Advocacy (NM) - Advanced
- Attention to Detail (NM) - Advanced
- Adaptive Communication (NM) - Advanced
- Quality Acumen (NM) - Advanced
- Data Security (NM) - Advanced
- Insurance Products (NM) - Advanced
- Policy Inquiries & Complaints Management (NM) - Advanced
- Case Management (NM) - Advanced
- Customer Service Mindset (NM) - Advanced
Desired Qualifications
- A strong desire to continuously learn and improve
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