Retail Client Account Services Processing Associate
To interpret, research and process our client's complex monetary and clerical requests within brokerage accounts and mutual fund accounts, while having the highest quality service and accuracy. To communicate and build relationships effectively with internal and external clients.
Duties and Responsibilities
Interprets, researches and processes client requests on our mutual fund and brokerage platforms. Partners with tenured associates to handle more complex requests. Consistently follows policies and procedures for completing work while independently utilizing systems and resources effectively. Exhibits a sense of urgency and accountability for the client experience.
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.
Demonstrates proficiency in all brokerage and mutual fund functions designated under respective training path. Maintains balance between quality and productivity to meet department standard.
Communicates both verbally and in written format with clients to clarify incomplete or invalid paperwork. Incorporates the six Client Relationship Management (CRM) skills into internal and external client interactions. Complies with all FINRA, SEC, and Vanguard internal policies regarding client contact.
Prioritizes work and provides flexibility to support business needs. General awareness of the current business environment. Demonstrates an interest in the financial markets and brokerage environment. Understands Vanguard products including, but not limited to, fund minimums, additional purchase limits, and closed funds.
Identifies workflow-related issues, trends, and makes recommendations for improvement to management. Assists with implementation of improvements as assigned.
Maintains effective work relationships by handling peer and management interactions in a positive and cooperative manner. Keeps supervisor informed of issues impacting the team.
- Participates in special projects and performs other duties as assigned.
- Undergraduate degree or equivalent combination of training and experience.
- Minimum of two years general experience and one year industry/technology.
- Demonstrated client relationship management experience.
- 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 brokerage environment.
- Working knowledge of Microsoft Office and PCs.
Vanguard is not offering visa sponsorship for this position.
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