BMO · 3 hours ago

Investment Service Specialist

Full-time

Remote

Entry, Mid Level

$42K/yr - $66K/yr

2+ years exp

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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

Find out how your skills align with this job's requirements. If anything seems off, you can easily click on the tags to select or unselect skills to reflect your actual expertise.

Financial PlanningSecurities Industry KnowledgeSIE CertificationSeries 7 CertificationSeries 66 CertificationSalesForceClientWorksMoneyguide-ProReferral Skills