Brokerage Services Registered Analyst - Series 7/63 - Remote
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 knowledgeable, consultative support across investment products and account services, manages complex situations through resolution, and helps clients and field partners use digital and self-service capabilities. The role supports assigned NM Investment home office clients and handles investment transactions and account servicing with accuracy and attention to compliance. The analyst also contributes investment expertise to product enhancements, works with department leads and NM Wealth business partners, and continuously develops knowledge of industry trends, products, technology, and regulatory requirements.
Requirements
- FINRA Series 6 or Series 7 license and a 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.
Responsibilities
- Provide consultative service to clients and advisors on investment concepts.
- Serve as an expert resource for 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.
- Educate clients and field partners about digital and self-service capabilities.
- Take ownership of client issues and complex situations through resolution, including de-escalating concerns.
- Collaborate with department leads and NM Wealth business partners to drive product enhancements.
- Stay current on industry trends, investment products, and regulatory requirements to support clients and internal stakeholders.
- Participate in continuous learning and improvement and help others navigate industry change.
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
Associate degree
