If you have an interest in finance, this is an excellent opportunity to start your career in the Financial Services Industry. While going through a unique and comprehensive training program while obtaining your FINRA licenses, you would serve a vital role in providing service to our existing clients and advisors. No cold calls required!
During this minimum 24-month program, Representatives will participate in the Securities Industry Training ("SIT") program which will prepare you to successfully prepare you for your role and for passing required FINRA exams. Representatives will have the opportunity to advance through several Tiers (Positions/Levels) during their tenure in the SIT program. You will be required to secure your FINRA SIE, Series 6 and 7 Licenses according to a pre-set schedule. Based on proficiencies achieved (Knowledge and Service) Representatives may have the opportunity to secure additional FINRA Licenses.
Salary Range:
Starting salary is $50,000 annually. In addition to the starting salary, there is a Licensing Incentive Program that provides salary incentives based on the successful passing of FINRA exams to secure the SIE and FINRA Securities Licenses 6, & 7. We offer a generous compensation package that also includes an attractive benefits package including medical, dental and vision, 401k company match, discretionary profit sharing, PTO, valet parking and more.
As a Financial Services Representative, (FSR-Tier1), your primary responsibility will be to answer client incoming calls, gather information, place outgoing calls, performs routine/assigned follow up tasks, transfer calls to appropriate personnel and provide exceptional service to PlanMember's Clients, PlanMember's Financial Advisors and Financial Centers (no cold calls).
As one of our representatives, you will participate in our unique Securities Industry Training ("SIT") program which, over the course of 24 months, prepares you for routine job duties related to the Financial (Securities) Industry. This includes passing the required licensure exams. Representatives will have the opportunity to advance through several Tiers (Positions) during their tenure in the SIT program and will be required to secure FINRA Licenses according to a pre-set schedule.
License Requirements: Our incentive program focuses on three important FINRA licenses: SIE (Securities Industry Essentials) exam, Series 6 exam. Once promoted to Tier 2, the series 7 exam will be the next focus. Each license represents a milestone in an agent's career and demonstrates their expertise and commitment to providing exceptional service to our clients and advisors.
Major Duties and Responsibilities
The primary responsibilities for FSR Tier I:
Answer Client inbound calls and or transfer calls requested
Gather information as it relates to clients inquires
Place outgoing calls (as required (no cold calls)
Perform routine/assigned follow up tasks
Provide exceptional service to Clients
Handle Return Mail Inquiries
Once proficient in the Service Center, work with New Hires as a "Buddy" for training
Refer daily support questions to more tenured employees
Process transactions and provide info relating to client accounts
Position Includes comprehensive SIT training for the first 8 weeks of employment
Additional Job Duties
FSR Tier 1 Help Support (SME)
Answer retail Help Queue Calls
Communicate training and coaching to management
Peer call monitoring and reviewing
Assist with maintaining and updating Knowledgebase. (PlanMember's policies and procedures)
Business Continuity
Essential Job Function: This position is deemed an "Essential Staff" position for the purpose of our Business Continuity Plan "BCP". This distinction means you are expected to be fully prepared to perform essential functions of your job remotely as deemed applicable and necessary by your manager and the Company upon declaration of a BCP event.
Competencies Required
Active Communication
Strong listening skills (attentive, active, and objective)
Clear, articulate verbal communication
Conflict management
Maintain composure under stress
Ability to ask probing questions
Respond to customers in a confident, cooperative and professional manner
Interpersonal Dynamics
Team Player
Ability to relate to others in a respectful, cooperative manner
Information Seeking
Solving Problems
Ability to research and analyze information (Analytical Thinking)
Support client retention program
Managing Processes
Time management
Ability to multi-task without errors
Self-Management
Composure and Resiliency
Proficient in Microsoft Word and Excel
Ability to learn and proficiently use internal computer systems and all related department software and technical tools
Accountable/Reliable/Self Motivated/Efficient
Service and Detail Oriented
Accountability
Qualification Standards
Education, Licenses, Work Experience, Etc.
4-year college degree (any major)
A desire and curiosity to learn the financial services industry
Previous experience with customer services a plus
Previous experience in a service center a plus.
Licenses and/or Certifications Required
Not Applicable
Additional License and/or Certification Information
Required to obtain FINRA Licenses SIE and Series 6 within 6 months of hire. Additional licenses will be required based on competency and business needs for continuation/promotion to Tier 2.