Financial Professional

Financial Professional at Dexian Financial Professional at Dexian in Charlotte, North Carolina Posted in 3 days ago.

Type:

full-time

Job Description:

Join one of the most prestigious fortune 50 Financial Institutions in the World!!

MUST HOLD SERIES 7

Complaints Specialist - Series 7 (Trading)

Location:

Charlotte, NC Pay:

$32 hr (6 month CTH) When transferred to Salary full compensation would be $60,000

Job Description:

Participate in moderately complex support services in account management, operations, documentation, customer service and technical support. Identify opportunities for process improvement within the customer support functional area. Review basic or tactical routine technical issues or challenges that require research and evaluation, applications or services, product conversions, and new product development. Present recommendations for resolving moderate to complex situations and exercise independent judgment while developing understanding of internal and external customer needs. Provide information to customer service colleagues, relationship managers, internal partners and stakeholders, and customers to resolve customer issues. Serve as the first point of customer contact in providing support for routine technical questions and issues.

Required Qualifications:

2+ years of experience in Customer Service, Financial Services or Contact Center, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education.

Must haves:

Brokerage or Financial experience is a must, candidates specifically need to have worked in a brokerage environment. Meaning working with financial advisors, traders, or other exposure to a brokerage environment. Candidates do not have to be licensed, but if they are familiar with the SIE, or other finra licenses it would be a plus Candidates with a finance degree is a plus Candidates looking to get into brokerage as a career is a plus Strong documentation experience. This will be a major part of this role. Documentation of cases, coding of finra regulations and making sure process and procedures are followed to adhere to Wells Fargo policy. There will be one day a week of taking calls, but the volume is VERY low. 5-10 calls total, so a very small piece of the job

Skills:

Series 7 Capital Markets experience.

BAU Processes:

Trade capture interest rate middle office side Processing trades throughout the day Trades get booked into the system, efficiently and accurately Support to the front office sales and trading teams Correcting any errors that may come up. Trade settlements background Learn things quickly, concepts around the traded products. Various systems they use - Calypso is the system they are upgrading. Dexian is an Equal Opportunity Employer that recruits and hires qualified candidates without regard to race, religion, sex, sexual orientation, gender identity, age, national origin, ancestry, citizenship, disability, or veteran status.