Brokerage Services Registered Analyst – Series 6/7/63
Posted 2026-05-06
Remote, USA
Full-time
Immediate Start
- Job Description:
- Provide advice, counsel, guidance and direction to clients and Registered Financial Representatives on the purchase and sales of securities.
- Executes mutual fund order transactions on behalf of Financial Representatives and clients.
- Determines customer financial needs, risk tolerance, suitability and understanding of the securities markets.
- Provide timely and accurate investment performance information, account statements, and investment-related queries to clients.
- Serve as a primary point of contact for NM Investment home office assigned clients, addressing inquiries regarding investment accounts and products.
- Analyze, input, and review investment transactions, including trade executions, transfers, and account maintenance, while ensuring accuracy and compliance.
- Handles phone and transactional responsibilities while adhering to strict confidentiality and privacy standards.
- Serves as a trusted advocate for our Financial Representatives and partners with them to meet the needs of our clients.
- Regularly promotes client retention and identifies opportunities for the field to build existing relationship, knows when to refer back to the field for follow- up.
- Delivers a personalized and remarkable experience for our clients by answering their questions, providing servicing options and helping them with their products or services in a call center environment.
- Takes ownerships of calls and anticipates future issues to avoid repeat calls and unnecessary call transfers.
- Researches and evaluates possible solutions to complex problems that requires identifying root cause and deviation from procedures and handles escalation resolution.
- Fosters a professional relationship with our clients to enhance brand loyalty.
- Requirements:
- FINRA Series 7/63 Licenses
- Associates degree in business or related field or equivalent combination of education and experience
- Minimum of 4 years related customer service experience with proven customer service skills
- Expert knowledge of investment products or markets
- An expert understanding of tax implications
- Advanced written and verbal communication skills
- Ability to multi-task and handle high volume of calls/case load with the greatest possible degree of accuracy
- Strong organization skills with the ability to prioritize tasks
- A strong desire to continuously learn and improve
- Strong problem-solving skills and ability to provide options
- Demonstrated computer experience with solid keyboarding skills and proficiency with current software packages
- Benefits:
- Health insurance
- 401(k) matching
- Paid time off
- Flexible work arrangements
- Professional development