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PlanMember Services Representative

Company: PlanMember Financial Corporation
Location: Carpinteria
Posted on: January 22, 2023

Job Description:

If you have an interest in finance, this is an excellent opportunity to head start a career in the Financial Services Industry. While going through a unique training program and obtaining your FINRA licenses, you would be playing the vital role of 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 them for routine job duties and for passing 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 Series 6, 63 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 such as the Series 65 and/or Series 24.
Tier I: PlanMember Client Service RepresentativeObtain FINRA Series 6 license within 4 months of hire & FINRA Series 63 within 6 months of hire.After successful completion of the SIT program, properly answer incoming calls from PlanMember's Clients and process transactions and provide information that relate to client accounts such as:

  • Account information
  • Account maintenance
  • Products
  • Retirement plans
  • Distributions
  • Loans
  • NIGO (not in good order) applications (outbound calling)
  • Update call log to ensure timing standards are met
  • Web support
  • Transfer out questions
  • Mailings and literature
  • Transfer in questions
  • Process return mail
  • Prepare service and research requests
  • AuditingTier II: Advisor Service RepresentativeContinue to answer incoming Client calls (volume dependent) with the addition of answering inbound calls from Advisors "Partners". Address questions and process transactions as outlined in Tier 1 above with the addition of the following:
    • Commission questions
    • New business questionsTier III: Senior Advisor Service Representative and Relationship Manager*(Pershing, Preference, Fidelity, Folio and TD Ameritrade)In addition to Tier I and II responsibilities, answer incoming calls from Advisors and Financial Centers related to:
      • Transaction processing
      • Account servicing
      • Build a strong platform knowledge (NetX360, Save Daily, Fidelity)
      • Communicate training and coaching needs to Director and AVPRelationship Manager - Financial Centers
        • Liaison role as a Customer Service Relationship Manager for Financial Centers.
        • Work to improve company's service relationships and efforts. Partners (Advisors and Financial Centers) with the common goal of facilitating good service communication and relationships such that the business maximizes the value of its relationships and maintains a good reputation overall.
        • Survey Financial Advisors/Financial Centers and report results quarterly
        • Solicit and Maintain feedbackAdvisor on House "Orphaned" Accounts (Assigned based on desire and proficiency)
          • Service Existing House "Orphaned" Accounts
          • Maintain call contact report INTERNAL RELATIONSHIPS:
            • Reports to AVP Service Center
            • Indirect report to Director of Trading Platforms
            • Communicates and interacts internal departmentsEXTERNAL RELATIONSHIPS:
              • PlanMember clients
              • Advisors (Partners)
              • Financial Centers (Partners)
              • Outside fund companies
              • Custodian

Keywords: PlanMember Financial Corporation, Santa Barbara , PlanMember Services Representative, Sales , Carpinteria, California

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