Investment Account Support Specialist, SAFE ACT, Assistance Vice President
Citi
Assistant Vice President, Investment Account Support Specialist, SAFE Act
Citi
full-time
Posted on:
Origin: • 🇺🇸 United States • Florida, Missouri
Visit company websiteSalary
💰 $96,960 - $145,440 per year
Job Level
Lead
About the role
- Serve as primary point of contact providing world-class experience for HNW and affluent self-directed clients
- Identify, build and deepen relationships to gain incremental wallet share of HNW/Ultra HNW and Affluent segments
- Provide quarterly value-added engagement with clients (high touch, remote, consistent communication)
- Refer opportunities to segment partners (Lending Consultants, Wealth Solutions Advisors, Small Business Partners, Relationship Managers)
- Anticipate complex financial needs and educate clients on Citi products, services and tools
- Assist self-directed retail clients with placing unsolicited trades and complex investing solutions (margin, options)
- Complete account maintenance requests and service inquiries ensuring KYC/AML and compliance adherence
- Resolve customer complaints according to FINRA policy and promote customer satisfaction
- Manage client follow-up and collaborate with departments to resolve issues and fulfill business needs
- Provide guidance on asset movement (ACATS), forms processing, account conversions and rollovers
- Utilize web-based systems including Salesforce, DocuSign, LexisNexus
- Assess risk appropriately and drive compliance with laws, rules, policies; escalate and report control issues transparently
Requirements
- 5-8 years of experience (preferred 3 years of Investment industry experience)
- Required US FINRA Registration: SIE, Series 7, 63 (Series 66 preferred)
- Must register as a mortgage loan originator with the Nationwide Mortgage Licensing System and Registry and obtain/maintain unique identifier per SAFE Act
- Bachelor's/University degree or equivalent experience
- Coachable mindset and willingness to grow professionally
- Ability to retain knowledge and support a wide array of products and services
- Ability to work independently and in a team setting
- Experience in a proactive, successful sales and service role in the financial services industry
- Self-starter, problem solver and goal-oriented team player
- Strong understanding of investment account products and services
- Experience assisting clients with placing trades (Stocks, Mutual Funds, ETFs, Brokerage CDs, Treasuries, Fixed Income), including margin and options
- Knowledge of KYC/AML and compliance norms and FINRA complaint resolution
- Experience with forms processing, ACATS, account conversions, rollovers
- Proficiency with web-based systems such as Salesforce, DocuSign, LexisNexus
