Executive Office Investigator Analyst I
Executive Office Investigator Analyst I
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Job Description
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 Investigator AnalystI within the Wealth Management team you will research and resolve nonsalespractice client complaints communicate resolutions to clients and escalate matters as needed. You will ensure that potential complaint related Financial Industry Regulatory Authority (FINRA) filings are submitted to the Firms Registration department for review.
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 Firms Registration department for review
- Assist the Firms Legal Department as needed with pending arbitration and/or litigation involving customer complaints
- Identify and escalate operational or sales conductrelated concerns
- Crosstrain on Wealth Management Executive Office intake function and assist with intake of client complaints as needed
Required qualifications capabilities and skills
- Bachelors Degree
- 3 years of securities industry experience
- Highlevel phone and verbal communication skills
- Advanced writing ability
- Knowledge of FINRA rules
Preferred qualifications capabilities and skills
- Series 7 highly preferred
- Complaint handling experiencepreferred
- Series 66 Series 9/and Life and Disability licenses desirable
- Experience communicating with clients over the phone highly preferred
Required Experience:
IC
Employment Type
Full-Time
