Madison-Davis
EXTERNAL CLIENT ROLE
Responsibilities include, but are not limited to:
• Oversee daily activities within client accounts
• Supervise, monitor, and review entries made within the accounts and daily exception reports
• Execute strict adherence to industry regulations and the firm’s internal policies
• Serve as a customer service supervisor for the Wealth Management offices and Independent Contractors
• Create weekly and monthly risk reports for Senior Management
• Interview, train, supervise, and mentor Credit Analyst staff
• Perform other tasks and duties as required and assigned
Required Experience:
• Bachelor’s Degree from an accredited university, preferably in Business, Economics, Finance, Accounting or related field
• 5+ years of industry experience
• Series 7 required, with a Series 24 preferred (or able to obtain within 90 days of hire)
• Strong knowledge of both Regulation T and of FINRA Rule 4210
• Strong verbal and written communication skills
• Exceptional organizational skills and the ability to prioritize work flow
• A commitment to excellent customer service mindset
• Ability to work in a constant state of alertness and safe manner