Description
The Brokerage Support Specialist II supports Financial Advisors, Wealth Advisors, and other Wealth professionals with specialized skills or services, such as Financial Planning, to maximize sales opportunities, expand client relationship, and increase client retention. Typical duties may include data input and analysis, product research, direct virtual or in-person client engagement and support, tracking and reporting, and managing interface between one or more vendor partners. This position also serves as back-up to other Brokerage Support Specialists and the Wealth Services Coordinator as needed and assigned.
Essential Job Responsibilities
1. Supports Financial Advisors, Wealth Advisors, and other Wealth professionals with specialized skills or services, such as Financial Planning to maximize sales opportunities, client relationship expansion and client retention.
2. Researches and prepares analysis in support of and in preparation for presentation to clients.
3. Participates in client calls or meetings, as necessary.
4. Tracks, reports and analyzes activity related to role.
5. Works with Broker Dealers and other product or technology partners to ensure efficient data sharing and system interface.
6. Performs account set-up, maintenance and data entry and processing tasks.
7. Ensures that all necessary documentation is complete, consistent, and compliant.
8. Serves as back-up to other Support Specialists and the Wealth Services Coordinator, as needed.
Bona Fide Occupational Qualifications
1. Education: High School diploma or equivalent required.
2. Work Related Experience: A minimum of three (3) years related experience required.
3. Technical Experience: Must possess strong interpersonal and communication skills as well as excellent computer skills and proficiency in one or more technical competencies.
4. Certifications: Must obtain L/A/H, Series 6 or 7, and Series 63 and 65 or Series 66 Securities licensing, within six (6) months of hire. A certifications in an area of specialty (such as a CFP or CFA) is required.
5. Travel: Must possess a valid driver's license and have the ability to travel regionally.
Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities
The contractor will not discharge or in any other manner discriminate against employees or applicants because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant. However, employees who have access to the compensation information of other employees or applicants as a part of their essential job functions cannot disclose the pay of other employees or applicants to individuals who do not otherwise have access to compensation information, unless the disclosure is (a) in response to a formal complaint or charge, (b) in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or (c) consistent with the contractor’s legal duty to furnish information. 41 CFR 60-1.35(c)
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