Investment Service Specialist

Investment Service Specialist

Requirements

• Minimum 2 – 3 years successful experience with a customer service focus in the financial planning, securities, or insurance industry
• Valid and active SIE, Series 7, 66 (or 65+63) is required
• Series 65 obtained within 6 months of employment
• Bachelor’s degree preferred with emphasis on finance or economics
• Basic knowledge of a Financial Planning process
• Solid knowledge of markets and investment products
• Strong working knowledge of financial industry
• Experience working with managed products and/or financial Planning services
• High level of integrity (Clean U-4)

Responsibilities

• Service incoming phone calls and emails from clients in a professional manner within service level goals
• Demonstrate effective core competencies through each stage of a call by connecting with clients, asking open ended questions and listening to the needs of the client to uncover opportunities
• Provide comprehensive client service and account management to clients, including but not limited to the following key accountabilities: Execute trades on client account open request (e.g., the purchase of mutual funds or other brokerage products)
• Facilitate customer asset transfers into the bank and perform required account maintenance
• Provide general and specific information on accounts and products, transaction status, etc… upon request
• Respond to web navigation queries, assist online trade execution and provide basic technical assistance as required
• Account opening and account maintenance processing including working with clients to accurately and thoroughly complete appropriate required documentation
• Utilize client relationship management system to track activities and contacts
• Uncover referral opportunities to Financial Advisors and BMO Harris Bank colleagues as opportunities arise during the customer conversation and in keeping with client segmentation strategies
• Participate as required in outbound calling campaigns to grow the overall investment business
• Act as a secondary contact to service individual client requests when their assigned Financial Advisor is not available
• Provide customized, comprehensive service to clients in the mass market segment
• Support service requests based on investment solutions from a product set (mutual funds, fixed income, certificates of deposit, managed asset allocation program, insurance products, fixed annuities, variable annuities and life insurance)
• Resolve any client issue or concern quickly and effectively to retain the relationship and build future opportunities for growth; all formal complaints must be immediately shared with the Manager and/or Compliance Officer
• Possess strong knowledge and act as resource on software including LPL’s ClientWorks, SalesForce, and Moneyguide-Pro
• Maintain strong knowledge of target investment product and solutions, regulatory requirements, competitive trends to provide clients with credible service
• Perform all service activities in compliance with firm and regulatory requirements and policies to mitigate risk to BMO Investment Services Financial Advisors
• Adhere to the guidelines outlined in the Compliance Manual for BIS Financial Advisors
• Conduct business based on the rules and regulations of the various entities that regulate the banking and brokerage industry (e.g. NASD, SEC, Federal Reserve, Internal Audit)
• Maintain accurate client records as required by the firm, regulatory authorities and the nature of the client relationship
• Maintain accurate transaction records as required by the firm, regulatory authorities and consistent with the products sold to the client
• Utilize approved marketing literature to mitigate risks and exposure to BMO Investment Services

Preferred Qualifications

• Bachelor’s degree preferred with emphasis on finance or economics
• Experience working with managed products and/or financial Planning services