Client Directed Desk (CDD) Coordinator
Provide professional order execution and customer service phone support for inbound and outbound client calls. Messaging will be predominately routine, but will require a high-level of professionalism, courtesy, and confidentiality. The Client Directed Desk (CDD) Coordinator is responsible for researching problems, administering solutions, and maintaining accurate records. Working with Management, the CDD Coordinator will establish and execute effective processes and procedures supporting service-level excellence. Additionally, the CDD Coordinator is responsible for generating reporting and metrics deliverables to track development of this new client-directed channel.
Individual filling this position should have the following qualifications:
- Successful completion of the FINRA General Securities Representative (Series 7) Exam and Uniform Securities State Law Exam (Series 63).
- Working knowledge of the securities industry, its operations and products to include stocks, bonds, margin accounts, options, various retirement plans (IRAs, Simple, Roth) mutual funds, and annuities.
- Familiarity with general Company business policies and procedures, as well as back-office operations and securities industry requirements.
- High School diploma, GED, or comparable work experience. Post-Secondary education preferred. Prior industry experience a plus.
- Proficient computer skills (working knowledge of Microsoft Word, Excel, and Outlook).
- Solid mathematical aptitude.
- Excellent verbal communication skills with the ability to actively listen and understand client needs.
- Good organizational and problem-solving skills with a strong attention-to-detail.
- Ability to manage multiple demands and competing priorities in a deadline-oriented environment.
- Ability to work in a computerized environment.
- Follow policies and procedures. Maintain client confidentiality.
- Communicate in a clear and service oriented manner. Use appropriate, professional language and grammar to effectively exchange ideas and information.
- Ability to proactively work with both external and internal clients. Relate with others in a professional manner in order to accomplish work responsibilities and objectives.
- Ability to maintain regular, predictable attendance.
- Provide professional order execution and courteous customer service to clients in response to inbound calls and requests.
- Provide client education as appropriate, without engaging in the provision of advice or acting in a fiduciary capacity (as defined by the DOL Conflict of Interest Rule or other industry-defined fiduciary standards).
- Ensure adherence to all Branch, Firm, and Compliance policies, procedures, rules, and regulations.
- Review and maintain all account documents and information.
- Facilitate the transfer of client funds and/or securities and the issuance of checks upon request.
- Compose and type letters and memoranda in accordance with established policies and procedures.
- Develop and implementing periodic client mailings to enhance the relationship, provide education, and drive client retention.
- Watch for potential problems. Alert the FSR Coordinator regarding any issues, and escalate client complaints, and inquiries (verbal and written).
- Enter unsolicited orders as directed by clients, including but not limited to buy/sell/stop/limit stock and bond trades, options trades, UIT transactions, and margin trades and mutual funds transactions.
- Understand and utilize the Firm’s desktop systems and applications and the related functionality as it applies to client service and business enhancement.
- Perform any other duties and special projects as necessary.