Brokerage Services Registered Analyst - Series 7/63 - Remote

What you'd do

• Provide consultative service to clients and advisors on a variety of investment concepts
• Act as a point of expertise on multiple areas: mutual fund trading, brokerage account servicing, cost basis, and tax reporting
• Participate in opportunities to apply industry knowledge while gaining exposure to complex problems and building upon critical thinking skills
• Collaborate regularly with department leads and NM Wealth business partners to drive product enhancements
• Work in a dynamic setting to continuously learn new concepts and help others navigate change in the industry
• Serve as a primary point of contact for NM Investment home office assigned clients, addressing inquiries regarding investment accounts and products.
• Analyze, input, and review investment transactions, including trade executions, transfers, and account maintenance, while ensuring accuracy and compliance.
• Stay up-to-date on industry trends, investment products, and regulatory requirements to provide knowledgeable support to clients and internal stakeholders.

What they want

• FINRA Series 6 or 7 and 63-equivalent licenses (65 or 66)
• Associates degree in business or related field or equivalent combination of education and experience
• Minimum of 3 years related financial services experience with advanced customer service, written, and verbal communication skills
• An intermediate understanding of tax implications related to investments
• A strong desire to continuously learn and improve
• Strong problem-solving and scenario-evaluation skills with an ability to provide solution
• Customer Support (NM): Captures customer information for inquiry and analysis in an organized, clear, and consistent manner; uses customer intelligence to solve problems, support informed decisions, communicate with customers and the field, and resolve complaints efficiently.
• Root Cause Analysis & Decision Quality (NM): Applies problem-solving methods to identify the fundamental causes of issues and makes timely, data-driven decisions by evaluating success factors, customer risks, business requirements, and value.
• Analytical Thinking (NM): Organizes and compares information to identify complex underlying issues through quantitative data and analysis; considers multiple perspectives and consistently seeks process improvements.
• Data Security (NM): Protects customer privacy and confidentiality, maintains appropriate access to private data, and follows applicable legal and regulatory requirements for data management.