Executive Office Investigator Analyst I

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 Analyst I within the Wealth Management team, you will research and resolve non-sales practice 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 Firm's 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 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

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 7 highly preferred

Complaint handling experience preferred

Series 66, Series 9/10, 24, 53, 4, and Life and Disability licenses desirable

Experience communicating with clients over the phone highly preferred