Sr. Associate - New Accounts : Plan & Trust Team

Job Title

Responsibilities : Subject matter expert for both internal and external clients, including financial advisors (FA's) and sales assistants (SA's), and may act as a liaison between department associates and the Legal and Compliance departments. Independently processes and answers questions on moderately complex issues, analyzing and interpreting data to determine appropriate corrective action. Understands client needs, identifies root causes of more complex problems and implements pragmatic solutions. Provides functional support to less experienced associates including resolving client escalations. Manages basic department workflows to ensure work is completed in a timely manner. Processes various advanced regulatory reports and contacts FA's to resolve account issues. Influences a culture where on-the-job training is prevalent. Acts in a mentor capacity to less experienced associates and provides training support for specific functions, under the guidance of the department trainers or leadership. Contributes heavily to department projects, documentation, functional analysis and testing as needed. Assists with establishing and enforcing policies and procedures. Recommends and helps implement suggestions to improve workflows, policies and procedures. Assists in reviewing lower level associates work for accuracy and completeness. Supports associates with proper recordkeeping / note taking practices to ensure all client requests are documented and completed in a timely fashion. Carry out a range of customer service activities, including handling customer cases and inquiries that are more complex or outside the norm. Answer the telephone and assist callers or those making varied inquiries by email or mail with any requests for information, directing more complex matters to colleagues as necessary. Receive and screen visitors, answering routine questions, providing information, or directing requests elsewhere. Produce, update, and provide best practice support on Microsoft documents, databases, and other departmental systems. Tasks may include purchasing materials, entering budgetary information, and recording time and expenses. Provide an efficient counter service by carrying out standard branch operations tasks and informing customers about simple products. Create, organize, and maintain files containing the correspondence and records of a senior colleague. Organize own work schedule in order to get the job done, coordinating with support services and assigning short-term tasks to others if necessary. Develop working knowledge of the organization's policies and procedures and of regulatory codes and codes of conduct relevant to own work, adhering to mandatory procedures to ensure own work is undertaken to the required standards. Develop and maintain excellent process or technical skills by participating in assessment and development planning activities as well as formal and informal training and coaching.

Knowledge of : Operations and New Accounts systems. Customer operations and the financial industry. Accounting concepts and principles. Investment concepts, practices and procedures used in the securities industry and as required by New Accounts.

Skills : Detail orientation and flexibility sufficient to handle high volume of phone calls requiring quick analytical and supportive responses. Interpersonal and communication (written and verbal) skills sufficient to interact with associates at all levels of the organization as well as financial advisors and branch personnel. Identifying and resolving operational issues. Lead the work of others and provide cross-training, coaching and mentoring. Handle stressful situations and provide a high level of customer service in a calm and professional manner. Express ideas, request actions and formulate plans or policies. Supports business processes by understanding and effectively using standard office equipment and standard software packages. Develop appropriate plans or perform necessary actions based on recommendations and requirements. Navigate customer conversations by leveraging the four parts of a service conversation : open, learn, reply, and close. Plan, organize, prioritize and oversee activities to efficiently meet business objectives. Develop, monitor, interpret and understand policies and procedures, while making sure they match organizational strategies and objectives. Connect with customers to strengthen the relationship, meeting personal needs through positive customer experiences. Analyze data from multiple sources to draw appropriate conclusions and make suitable recommendations. Develop solutions with guidance but not constant supervision. Meet high customer service standards. Understand and effectively operate all customer management systems. Analyze data trends for use in reports to help guide decision making. Select, deploy and get the best results from the most appropriate office system. Recognize sales opportunities during service interactions to enhance overall customer service. Typically works with guidance.