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Service Advisor - IAD - Req. 1901442


Job Summary:

Under general supervision, uses specialized knowledge and skills obtained through experience and/or formal training to assist Independent Registered Investment Advisory Firms and Financial Advisors to research and resolve escalated issues regarding client accounts.  Recommends solutions to moderately complex problems. Maintains extensive contact with internal customers.    

Essential Duties and Responsibilities:
    • Serves as a liaison between home office departments and Independent Registered Investment Advisors to research and resolve escalated issues regarding clients’ accounts via phone, correspondence, email and online inquiries.

    • Follows an issue from initiation through resolution, final communications, and follow-up.

    • Determines best method to resolve issues to ensure client satisfaction and adherence to company and IAD Division policies.
    • Follows up, either verbally or in writing, to ensure client satisfaction.
    • Responds to inquiries related to qualifications, instructions or paperwork requirements for various programs.
    • Addresses inquiries pertaining to operational policies and procedures by relaying policies that govern procedures at the retail level.
    • Reviews, maintains and documents weekly reports.
    • Interfaces with existing clients looking to trade their account(s) designated as house account(s) until a new Financial Advisor is established.
    • Performs other duties and responsibilities as assigned.
    • Processes monthly and quarterly billings submitted by RIA’s.
    • Does all registration – adding/terming new offices, FA’s for all IAD offices.


      Knowledge, Skills, and Abilities:
      Knowledge of:
      • Basic office practices, procedures and methods.
      • Strong Excel skills
      • Account types and industry operations in general.
      • Back office systems.
      Skill in:
      • Organizational and time management skills sufficient to prioritize workload, handle multiple tasks, and meet deadlines.
      • Operating standard office equipment and using required software applications to produce correspondence, presentations, electronic communication and spreadsheets.
      • Detail orientation to ensure quality standards are met without impairing workflow.
      • Follow-up to ensure resolution and completion of tasks.
      • Strong analytical ability with high aptitude for speed and acumen.
      Ability to:
      • Provide a high level of customer service in a calm, courteous and professional manner.
      • Establish and maintain effective working relationships at all levels of the organization.
      • Organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment.
      • Use effective oral and written communication skills sufficient enough to communicate and interact effectively with Financial Advisors and branch associates.
      • Constructively work under stress and pressure when faced with high workloads and deadlines.
      • Work independently as well as collaboratively within a team environment.
      Educational/Previous Experience Requirements:
      • High School Diploma or equivalent and a minimum of (1) year of experience in the financial services industry, preferably including related service experience. 
      • An equivalent combination of experience, education, and/or training as approved by Human Resources.
      • Must be willing to obtain SIE and Series 7 Top-Off within 9 months