Retail Client Account Service Processing Associate
To process monetary and clerical requests (mutual fund & brokerage) with the highest quality service and accuracy. To communicate effectively with internal and external clients.
Duties and Responsibilities
1. Interprets and processes a broad variety of routine retail client requests. Partners with tenured associates to handle more complex requests. Develops and maintains a thorough understanding of departmental policies and procedures and a working knowledge of internal systems.
2. Maintains balance between quality and productivity to meet department standards.
3. Demonstrates logical, systematic approach to problem solving, focusing on client expectations and improving effectiveness and efficiency of operations. Leverages online resources and past experience to independently meet challenges and provide viable alternative solutions as needed.
4. Communicates both verbally and in written format with clients to clarify incomplete or invalid paperwork. Displays strong client relationship management skills during interactions with both internal and external clients. Complies with all FINRA, SEC, and Vanguard internal policies regarding client contact.
5. Develops and maintains a comprehensive knowledge of investment industry and Vanguard policies and procedures. Adheres to compliance and risk management policies to maintain complete client confidentiality and minimize risk and exposure.
6. Identifies workflow-related issues, trends, and makes recommendations for improvement to management.
7. Maintains effective work relationships by handling peer and management interactions in a positive and cooperative manner. Keeps supervisor informed of issues impacting the team.
8. Builds productive working relationships across the organization with a focus on creating client-driven solutions, continually looking to meet or exceed client expectations. Seeks constructive feedback from internal clients.
9. Adheres to and possesses a strong understanding of Vanguard policies, Code of Ethics, departmental and processing procedures, and legal requirements. Provides accurate, complete, and value-added information.
10. Participates in special projects and performs other duties as assigned.
- Undergraduate degree or equivalent experience is preferred.
- Minimum one year general experience.
- Series 6 and 63 FINRA licenses or ability to obtain with department guidelines.
- Demonstrated client relationship management experience.
- Excellent verbal and written communication skills.
- Strong problem resolution and time management skills.
- Outstanding positive attitude with ability and willingness to effectively work within a team environment.
- Demonstrated ability to work in a high volume situation with time constraints and to adapt within a fluid work environment.
- Ability to prioritize and handle multiple tasks in a rapidly changing environment.
- Working knowledge of Microsoft Office and PCs.
Vanguard is not offering visa sponsorship for this position.
This is the new blended entry level role that combines RPG and CAS. Going forward all new crew to RCAS will begin their careers in this position with most, if not all, recruiting being done externally.
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