Service Associate - Series 7 & 63 Required
Core
Serve as the initial point of contact for clients, handling account issues, trade execution, and transaction processing via phone and electronic communications.
Role type
Licensed Service Associate (Financial Services)
Builds
Client account management and trade execution services
Domain
Financial Services / Securities
Deliverable
client delivery
Required skills
Securities trading, transaction processing, account management, call center operations, compliance adherence
Preferred skills
Inheritance case processing, trust/estate account management
Technologies
Standard office equipment, required software applications
Responsibilities
Address account-level issues through inbound/outbound calls, execute client-directed trades, process transactions (ACH, wires), manage diverse account types, monitor back-office alerts, review account terminations
Seniority
Mid-level, hands-on IC