Series 7 and 63 Licensed Service Analyst - Train/Start Work from Home near Florence, KY
The health and safety of our colleagues and their families, as well as our clients, potential candidates, and the communities we serve, are of the utmost importance. Due to the COVID-19 situation, this role will temporarily be performed remotely. The successful candidate will train and work from home until such time as it is determined that the role will move back into the Florence worksite full-time.
The Intermediate Associate Licensed Service Analyst is a developing professional role which integrates in-depth specialty knowledge with a solid understanding of industry standards and practices; demonstrates good understanding of how the team and area integrate with others in accomplishing the objectives of the sub-function/ job family. Applies analytical thinking and knowledge of data analysis tools and methodologies. Breaks down information in a systematic and communicable manner. Developed communication and diplomacy skills are required in order to exchange potentially complex/sensitive information. Moderate but direct impact through close contact with the businesses' core activities. Quality and timeliness of service provided will affect the effectiveness of own team and other closely related teams. Responsibilities:
- Support Financial Advisors and provide world class customer service where the focus is on client satisfaction and deepening relationships.
- Address escalation/help desk issues ranging from tutorial guidance requests to senior escalations issues for external clients and internal/remote staff
- Interpret procedures/ instructions to resolve problems within established policies and procedures, while adhering to banking and brokerage regulatory requirements.
- Works under little to no direct supervision while performing job duties as required, may train lower level team members.
- Apply working knowledge of technical and professional principles and concepts and in depth knowledge of team objectives; and, impacts the business by ensuring the quality of the tasks or services provided.
- Respond to inbound phone inquiries regarding specific brokerage related questions and concerns
- Develop relationships with existing clients and build relationships with new clients.
- Manage client follow-up and adhere to all Regulatory, Compliance operating procedures
- Ensure customer claims and complaints are handled in accordance to FINRA and firm policy.
- Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency.
- 2-5 years relevant experience preferred
- Previous experience with general knowledge of the organization, products, and/or services.
- Excellent problem solving and decision making skills, combined with an understanding of regulatory requirements are required to perform job functions
- Required Licensing/Registration: Series 7 and 63
- Bachelors/University degree or equivalent experience preferred
This job description provides a high-level review of the types of work performed. Other job-related duties may be assigned as required. Job Family Group:
Customer Service Job Family:
Licensed Service Time Type:
Citi is an equal opportunity and affirmative action employer.
Qualified applicants will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.
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