Investment Specialist - Remote

Summary

BMO is a financial services institution providing banking, investment, and wealth services to clients. The Investment Specialist provides remote client support for investment accounts, executes and facilitates transactions, resolves service issues, and identifies referral opportunities while maintaining compliance with regulatory and firm requirements.

Responsibilities

• Service incoming phone calls and emails from clients in a professional manner within service level goals
• Demonstrate effective core competencies through each stage of a call by connecting with clients, asking open ended questions and listening to the needs of the client to uncover opportunities
• Provide comprehensive client service and account management to clients, including but not limited to the following key accountabilities:
• Execute trades on client account open request (e.g., the purchase of mutual funds or other brokerage products)
• Facilitate customer asset transfers into the bank and perform required account maintenance
• Provide general and specific information on accounts and products, transaction status, etc… upon request
• Respond to web navigation queries, assist online trade execution and provide basic technical assistance as required
• Account opening and account maintenance processing including working with clients to accurately and thoroughly complete appropriate required documentation
• Utilize client relationship management system to track activities and contacts
• Uncover referral opportunities to Financial Advisors and BMO Harris Bank colleagues as opportunities arise during the customer conversation and in keeping with client segmentation strategies
• Participate as required in outbound calling campaigns to grow the overall investment business
• Act as a secondary contact to service individual client requests when their assigned Financial Advisor is not available
• Provide customized, comprehensive service to clients in the mass market segment
• Support service requests based on investment solutions from a product set (mutual funds, fixed income, certificates of deposit, managed asset allocation program, insurance products, fixed annuities, variable annuities and life insurance)
• Resolve any client issue or concern quickly and effectively to retain the relationship and build future opportunities for growth; all formal complaints must be immediately shared with the Manager and/or Compliance Officer
• Possess strong knowledge and act as resource on software including LPL’s ClientWorks, SalesForce, and Moneyguide-Pro
• Maintain strong knowledge of target investment product and solutions, regulatory requirements, competitive trends to provide clients with credible service
• Perform all service activities in compliance with firm and regulatory requirements and policies to mitigate risk to BMO Investment Services Financial Advisors
• Adhere to the guidelines outlined in the Compliance Manual for BIS Financial Advisors
• Conduct business based on the rules and regulations of the various entities that regulate the banking and brokerage industry (e.g. NASD, SEC, Federal Reserve, Internal Audit)
• Maintain accurate client records as required by the firm, regulatory authorities and the nature of the client relationship
• Maintain accurate transaction records as required by the firm, regulatory authorities and consistent with the products sold to the client
• Utilize approved marketing literature to mitigate risks and exposure to BMO Investment Services

Skills

• * Minimum 2 – 3 years successful experience with a customer service focus in the financial planning, securities, or insurance industry
• * Valid and active SIE, Series 7, 66 (or 65+63) is required
• * Series 65 obtained within 6 months of employment
• * Basic knowledge of a Financial Planning process
• * Solid knowledge of markets and investment products
• * Strong working knowledge of financial industry
• * Experience working with managed products and/or financial Planning services
• * High level of integrity (Clean U-4)
• * Strong customer service and communication skills
• * One-on-one and group presentation skills
• * Excellent problem solving skills
• * Demonstrated ability to refer financial opportunities
• * Bachelor's degree preferred with emphasis on finance or economics

Qualifications

Must Haves

• * Minimum 2 – 3 years successful experience with a customer service focus in the financial planning, securities, or insurance industry
• * Valid and active SIE, Series 7, 66 (or 65+63) is required
• * Series 65 obtained within 6 months of employment
• * Basic knowledge of a Financial Planning process
• * Solid knowledge of markets and investment products
• * Strong working knowledge of financial industry
• * Experience working with managed products and/or financial Planning services
• * High level of integrity (Clean U-4)
• * Strong customer service and communication skills
• * One-on-one and group presentation skills
• * Excellent problem solving skills
• * Demonstrated ability to refer financial opportunities

Nice to Haves

• * Bachelor's degree preferred with emphasis on finance or economics

Benefits

• May include a commission structure.
• Performance-based incentives.
• Discretionary bonuses.
• Health insurance.
• Tuition reimbursement.
• Accident and life insurance.
• Retirement savings plans.
• Remote opportunity.
• In-depth training and coaching.
• Manager support.
• Network-building opportunities.