Job responsibilities:  

• You will support full service wealth clients/advisors and self-directed client data and documentation for CWM, JPMS, and PB
• Principal duties include reviewing and approving the brokerage account maintenance service requests in accordance with FINRA rules and industry regulations
• Leverage risk management mind-set to review and validate client data and relevant legal and/or governing documentation
• You will support the digital brokerage services with straight through processing and accepting or rejecting client service requests
• Foster a culture of continuous improvement; analyze processes and identify opportunities for automation and/or tactical solutions to solve for gaps to enhance end to end operating model
• Critical thinker, ability to exercise independent judgment in resolution of moderate to complex issues and escalate issues for resolution
• You will participate in internal research projects and special client assignments as the opportunities arise for licensed individuals

Required qualifications, capabilities and skills

• FINRA Series 7 and 24 licenses required.
• Minimum 5 years of experience in financial services, preferably in investment related roles, with a focus on customer service and support preferred
• General knowledge of brokerage industry regulatory requirements. Ensure compliance with all department and regulatory (AML, SEC, DOL, FINRA, etc.) requirements
• Ability to think creatively, transform ideas and recommend/implement process improvements. Plus exceptional customer service mentality
• Exceptional communication skills and be able to collaborate effectively across all levels of the organization
• Proven interpersonal, team-oriented skills, results oriented team player
• Strong sense of accountability and ownership to drive best practices around the quality, risk and controls process

Preferred qualifications, capabilities and skills 

• Accelerated skills in Microsoft Office, particularly advanced Excel proficiency preferred
• Strong knowledge of Data Analytic and Visualization tools, Signavio, Altreyx, Xceptor is a plus
• Ability to organize/manage multiple priorities and projects coupled with the flexibility to quickly adapt to ever changing business needs and requirements. Analytical approach to problem solving. 
• Accuracy and high attention to detail, excellent follow-through