Provides the first point of contact for advisors and field leadership regarding advisor and field compensation, FINRA licensing and registration requirements, and other advisor-related issues. Communicates directly through an in-bound phone queue or through e-mail to research questions, open issue resolutions cases, and resolves minor problems over the phone or notify appropriate service partners. Tracks and records advisor contact and enters issue(s) or case processing data into system for completion by service representatives.Responsibilities
- Respond to inquiries from advisors and field leadership regarding routine advisor compensation, including advisor payroll, terminations, and other field compensation and payroll-related issues, as well as FINRA licensing, registration, or continuing education, and tracks all advisor contact in appropriate systems. Contact is predominately via an in-bound phone queue or email, and may also include out-bound contact as necessary.
- Resolve less complex inquiries regarding advisor compensation or licensing requirements, such as address changes or continuing education status updates utilizing computer-based systems, as well as proactively assist advisors with payroll and licensing related issues, including basic troubleshooting advice regarding the advisor payroll system or FINRA continuing education tracking system.
- Continue to develop and understand more complex advisor compensation, payroll, and licensing issues initiated by advisors, ensuring that all pertinent and necessary information communicated from advisors is accurately entered into the system and forward these issues onto service representatives for completion, asking appropriate questions of the advisor to ensure that all necessary information is entered to ensure timely resolution.
- Support and advise branch offices and advisors on FINRA and state insurance registration requirements processes, as well as communicate pro actively any changes to FINRA or insurance registration policies and processes via phone and e-mail, in addition to assisting with basic troubleshooting on FINRA or insurance registration issues initiated by advisors.
- High school or equivalent.
- 0 to 1 years of experience excellent customer service skills that include the ability to explain policies or concepts in a straightforward, easy-to-understand manner.
- Strong written and spoken communication skills.
- Demonstrated ability managing multiple priorities in a fast-paced environment.
- Demonstrated skill troubleshooting and identifying root causes and resolving issues.
- Previous customer service experience strongly.
- Product-specific or financial services industry experience.
Location/Region: Minneapolis, MN