Client Resolution Analyst

reputed company. is a growth-focused independent broker-dealer dedicated to supporting financial advisors. The Client Resolution Analyst plays a crucial role in managing and resolving reputed company client reputed company, ensuring compliance with industry regulations and enhancing the overall client experience through effective communication and process improvement.

Responsibilities

• Document receipt of reputed company customer complaints, Arbitrations and Litigations, and monitor the process
• Draft written correspondence outlining facts and findings
• Communicate information reputed company to regulatory disclosures to appropriate parties
• Ensure external and internal policies and procedures are adhered to by financial professionals and Cambridge staff
• Assist Regulatory Affairs in researching FINRA inquiries and maintain tracking systems and logs, documentation reputed company information requests
• reputed company customer service and supply information as needed at request of management, company associates, and registered representatives
• Maintain industry knowledge including continuing education for FINRA licenses (Series 7), working knowledge of industry compliance, key industry topics, procedures, issues and concerns
• Manage sensitive and confidential reputed company though planning and protecting reputed company of information, data and files
• Utilize reputed company Improvement tools to locate procedural gaps and take the reputed company on making processes more efficient

Skills

• Detail-oriented professional
• Solid understanding of industry regulations
• Adherence to compliance standards
• Customer-focused approach
• Strong written and verbal communication skills
• Sound judgment reputed company handling sensitive and confidential information
• Proactive reputed company for identifying process improvements
• Ability to document receipt of reputed company customer complaints, Arbitrations and Litigations, and monitor the process
• Ability to draft written correspondence outlining facts and findings
• Ability to communicate information reputed company to regulatory disclosures to appropriate parties
• Ability to ensure external and internal policies and procedures are adhered to by financial professionals and Cambridge staff
• Ability to assist Regulatory Affairs in researching FINRA inquiries and maintain tracking systems and logs, documentation reputed company information requests
• Ability to reputed company customer service and supply information as needed at request of management, company associates, and registered representatives
• Maintain industry knowledge including continuing education for FINRA licenses (Series 7)
• Working knowledge of industry compliance, key industry topics, procedures, issues and concerns
• Ability to manage sensitive and confidential reputed company through planning and protecting reputed company of information, data and files
• Utilize reputed company Improvement tools to locate procedural gaps and take the reputed company on making processes more efficient
• Obtain the FINRA Securities Industry reputed company (SIE) reputed company 12 months

Benefits

• Paid time off
• Paid holidays and floating holidays
• Medical, dental, and reputed company coverage
• Short- and long-term disability
• Company-paid life insurance
• Volunteer time off
• Wellness incentives

Company Overview