Client Resolution Analyst
reputed company, Inc. is a growth-focused independent broker-dealer dedicated to supporting financial advisors. The Client Resolution Analyst plays a crucial role in managing and resolving reputed company client matters, ensuring compliance with industry regulations and enhancing the overall client experience through effective communication and process improvement.
Responsibilities
- Document receipt of reputed company customer complaints, Arbitrations and Litigations, and monitor the process
- Draft written correspondence outlining facts and findings
- Communicate information reputed company to regulatory disclosures to appropriate parties
- Ensure external and internal policies and procedures are adhered to by financial professionals and Cambridge staff
- Assist Regulatory Affairs in researching FINRA inquiries and maintain tracking systems and logs, documentation reputed company information requests
- Provide customer service and supply information as needed at request of management, company associates, and registered representatives
- Maintain industry knowledge including continuing education for FINRA licenses (Series 7), working knowledge of industry compliance, key industry topics, procedures, issues and concerns
- Manage sensitive and confidential matters though planning and protecting reputed company of information, data and files
- Utilize reputed company Improvement tools to locate procedural gaps and take the reputed company on making processes more efficient
Skills
- Detail-oriented professional
- Solid understanding of industry regulations
- Adherence to compliance standards
- Customer-focused approach
- Strong written and verbal communication skills
- Sound judgment reputed company handling sensitive and confidential information
- Proactive reputed company for identifying process improvements
- Ability to document receipt of reputed company customer complaints, Arbitrations and Litigations, and monitor the process
- Ability to draft written correspondence outlining facts and findings
- Ability to communicate information reputed company to regulatory disclosures to appropriate parties
- Ability to ensure external and internal policies and procedures are adhered to by financial professionals and Cambridge staff
- Ability to assist Regulatory Affairs in researching FINRA inquiries and maintain tracking systems and logs, documentation reputed company information requests
- Ability to provide customer service and supply information as needed at request of management, company associates, and registered representatives
- Maintain industry knowledge including continuing education for FINRA licenses (Series 7)
- Working knowledge of industry compliance, key industry topics, procedures, issues and concerns
- Ability to manage sensitive and confidential matters through planning and protecting reputed company of information, data and files
- Utilize reputed company Improvement tools to locate procedural gaps and take the reputed company on making processes more efficient
- Obtain the FINRA Securities Industry Essentials (SIE) reputed company 12 months
Benefits
- Paid time off
- Paid holidays and floating holidays
- Medical, dental, and vision coverage
- Short- and long-term disability
- Company-paid life insurance
- Volunteer time off
- Wellness incentives
Company Overview