BMO U.S. · 16 hours ago
Investment Specialist - Remote
United States
Full-time
Remote
Entry, Mid Level
$42K/yr - $78K/yr
2+ years expBMO U.S. is seeking an Investment Specialist to provide superior customer service to clients. The role involves assisting clients with account inquiries, executing trades, and uncovering opportunities to refer clients to financial advisors.
Banking
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
Qualification
Required
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
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)
Strong customer service and communication skills
One-on-one and group presentation skills
Excellent problem solving skills
Demonstrated ability to refer financial opportunities
Preferred
Bachelor's degree preferred with emphasis on finance or economics
Benefits
Health insurance
Tuition reimbursement
Accident and life insurance
Retirement savings plans
Company
BMO U.S.
We’re a bank, but there’s more to it than that. We're a top ten bank in North America and have been serving our customers since 1817.
5001-10000 employees
H1B Sponsorship
BMO U.S. has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (1)
2024 (11)
2023 (41)
2022 (22)
2021 (14)
2020 (21)
Funding
Current Stage
Late StageLeadership Team
Mike Morton
Vice Chair U.S. Commercial Banking
Recent News
2025-10-16
2025-09-23
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