Brokerage Associate

Dexian; Charlotte (NC); On-site; USD 41,328 - 44,083; Full time

Job summary

A financial services firm in Charlotte, NC is seeking candidates with an active Series 7 License for a 12-month position. The role involves managing escalated client inquiries, resolving complex complaints, and ensuring compliance with regulations. Candidates must have at least 6 months of customer contact in a financial environment and familiarity with brokerage support. This position emphasizes a client service focus, showcasing the ability to listen to customer needs and offer effective solutions.

Qualifications

• 6+ months of Customer Contact in a Financial Services Environment.
• FINRA SIE and Series 7 examinations required.

Responsibilities

• Research and resolve escalated inquiries and complaints.
• Determine appropriate course of action for complex transactions.
• Provide information related to escalated inquiries and complaints.

Skills

Customer Contact in Financial Services

Complaint handling

Client service focus

Job description

Must have an ACTIVE Series 7 License

• Address: W WT Harris BLVD Charlotte NC
• Pay Rate: 30-32
• Position Type/Duration of Assignment: 12 month CTH
• A minimum of one year of brokerage client support experience
• Phone-based client interaction experience, as Case Advisors will communicate directly with clients regarding complaints

Job Description

• Research and resolve escalated inquiries and complaints including review of in process, closed, or cancelled single loan or credit exceptions, applications, claims, files or online transactions
• Determine appropriate course of action by conducting investigative steps to identify the issues, research product information, and process complex or corrective transactions online
• Review escalated inquiries and complaints that require special handling, process complex or corrective transactions online, and ensure resolution or negotiation of sensitive and time critical matters
• Receive direction from supervisors and exercise judgment within defined parameters while developing understanding of investigative steps to identify and resolve issues, terms, conditions, and contracts to ensure the process and documentation are in compliance with internal company requirements, insurer guidelines, investor requirements, or government regulations
• Provide information to the management committee members, agencies, or business leaders related to the escalated inquiries and complaints

Required Qualifications

• 6+ months of Customer Contact in a Financial Services Environment, Financial Services Operations, Underwriting, or Quality Assurance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
• FINRA SIE and Series 7 examinations

Desired Qualifications

• 6+ months of brokerage complaint handling experience
• 1 year of brokerage client support experience or operations experience
• Experience resolving and working through escalated and complex issues
• Experience managing complaints and objections effectively and professionally
• Client service focus with the ability to listen to customer needs and recommend solutions