Brokerage Services Registered Analyst - Series 7/63
About The Position
The Investment Client Services Analyst (Series 7/63) is a licensed, client-facing role supporting clients and registered financial representatives with investment account questions, performance inquiries, and securities transactions. The analyst provides consultative service, applies investment product knowledge, de-escalates complex situations, and owns issues through resolution. The role also contributes to continuous improvement, adapts to new technology, and educates clients and field partners on digital and self-service capabilities to strengthen relationships and support client retention. The analyst serves as a primary contact for NM Investment home office assigned clients and addresses inquiries about investment accounts and products. The role involves analyzing, entering, and reviewing transactions—including trade executions, transfers, and account maintenance—while ensuring accuracy and compliance. The analyst stays current on industry trends, investment products, and regulatory requirements, collaborates with department leads and NM Wealth business partners on product enhancements, and helps clients and colleagues navigate change.
Requirements
- FINRA Series 6 or Series 7 license and Series 63-equivalent license (Series 65 or 66).
- Associate degree in business or a related field, or an equivalent combination of education and experience.
- At least 3 years of related financial services experience.
- Advanced customer service, written, and verbal communication skills.
- Intermediate understanding of tax implications related to investments.
- Strong problem-solving and scenario-evaluation skills, with the ability to provide solutions.
- Strong desire to continuously learn and improve.
- Series 63, Series 7, and SIE licenses are listed in the posting.
- Role is classified as a Registered Representative under NMIS guidelines and requires fingerprinting.
Responsibilities
- Provide consultative service to clients and advisors on investment concepts.
- Serve as an expert resource on mutual fund trading, brokerage account servicing, cost basis, and tax reporting.
- Support NM Investment home office assigned clients with inquiries about investment accounts and products.
- Analyze, input, and review investment transactions, including trade executions, transfers, and account maintenance, ensuring accuracy and compliance.
- Stay current on industry trends, investment products, and regulatory requirements to support clients and internal stakeholders.
- Collaborate with department leads and NM Wealth business partners to drive product enhancements.
- Help clients and field partners use digital and self-service capabilities.
- Own client issues through resolution and de-escalate complex situations.
- Participate in opportunities to apply industry knowledge, build critical thinking skills, and learn new concepts.
- Support continuous improvement and help others navigate changes in the industry.
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
Associate degree
