Investment Complaint Analyst- Hybrid

This position is a part of the Enterprise complaints management space and is focused on WIM (Wealth and investment management) complaints cases. This can include private banking, brokerage, Wells Fargo Advisors, etc.

Complaints Process:

• When someone files a complaint, a Client Service Consultant will send them a letter that includes their contact information acknowledging the complaint
• At this time, these are all executive and high-level complex complaints, not just merely escalated complaints
• Because these letters include the CSC’s contact information, the client may call
• This is not a call center environment, but they need people comfortable with being on the phones because certain clients will call-in
• The CSC is responsible for reviewing the complaint
• Write a letter explaining what was done to investigate the complaint and provide a solution
• Responsible for supporting internal and external customers by providing a more complex variety of support services in account management, operations, documentation, customer service and technical support
• The cases will be assigned to your queue on a routine basis, where you are responsible for around 50 complaints at any given time (number subject to change based on business need)
• As the cases come in, you should work to triage the cases frequently and ensure you are working the cases in the order of risk/age
• You are expected to autonomously work through your cases/deliverables
• We ask that the project team each close 8-10 cases per week on average (average because we understand some weeks you have a harder time getting responses or have harder cases, but the next week should make up for that when responses come back along with new cases being researched) with a 95% or higher quality rating assigned by the QA team
• Hitting these metrics is entirely feasible, but does require good time management, attention to detail and organizational skills
• When working through the cases, it is important to recognize escalation needs (Elder abuse, ADA concerns, etc) as well as opportunities to advocate for the client where needed
• We may see that an error may have harmed the client financially, so we should investigate to see if money is owed, or maybe the back office is requiring paperwork that may not necessarily be required, so we should be recognizing when we should provide credible challenge back to the business to see if they can process as is

Additional Skills & Qualifications:

• Must have an active series 7 license (need to have at least 6 months left of eligibility)
• Client-facing experience
• Previous finance/banking experience
• Analytical