Financial Services Representative -Tier 1

Financial Services Representative - Tier 1 (Hiring for August 2026) Department

Service Center

Non-Exempt

Carpinteria, CA

Full Time

As a Financial Services Representative, (FSR-Tier1), you will complete 8 weeks of SIT training. Your primary responsibility will be to answer client incoming Plan Member client calls, provide excellent service while gathering information to resolve issues. Place outgoing calls for follow ups and assigned tasks, and transfer calls to appropriate personnel. As one of our representatives, you will participate in our unique Securities Industry Training (“SIT”) program which, over the course of 24 months, prepares you for routine job duties related to the Financial (Securities) Industry.

This includes passing the required licensure exams. Representatives will have the opportunity to advance through several Tiers (Positions) during their tenure in the SIT program and will be required to secure FINRA Licenses according to a pre-set schedule.

License Requirements: Our incentive program focuses on three important FINRA licenses. Tier 1 consists of: SIE (Securities Industry Essentials) exam followed by the Series 6 exam. Once promoted to Tier 2, the series 7 exam will be the next focus. Each license represents a milestone in an agent’s career and demonstrates their expertise and commitment to providing exceptional service to our clients and advisors.

Location Information: On-Site at our Carpinteria, CA Headquarters

Salary Range: The starting salary is $52,000 annually. In addition to the starting salary, there is a Licensing Incentive Program that provides salary incentives based on the successful passing of FINRA exams to secure the SIE and FINRA Securities Licenses 6, & 7. We offer a generous compensation package that also includes an attractive benefits package including medical, dental and vision, 401k company match, discretionary profit sharing, PTO, valet parking and more.

The primary responsibilities for FSR Tier I:

• Answer Client inbound calls and or transfer calls requested
• Gather information as it relates to clients inquires
• Place outgoing calls (as required (no cold calls))
• Perform routine/assigned follow up tasks
• Provide exceptional service to Clients
• Handle Return Mail Inquiries
• Once proficient in the Service Center, work with New Hires as a “Buddy” for training
• Refer daily support questions to more tenured employees
• Process transactions and provide info relating to client accounts
• Position Includes comprehensive SIT training for the first 8 weeks of employment

Additional

Job Duties:

FSR Tier 1 Help Support (SME)

• Answer retail Help Queue Calls
• Communicate training and coaching to management
• Peer call monitoring and reviewing
• Assist with maintaining and updating Knowledgebase. (Plan Member’s policies and procedures)

Active Communication

• Strong listening skills (attentive, active, and objective)
• Clear, articulate verbal communication
• Conflict management
• Maintain composure under stress
• Ability to ask probing questions
• Respond to customers in a confident, cooperative and professional manner

Interpersonal Dynamics

• Team Player
• Ability to relate to others in a respectful, cooperative manner
• Information Seeking

Solving Problems

• Ability to research and analyze information (Analytical Thinking)
• Support client retention program

Managing Processes

• Time management
• Ability to multi-task without errors

Self-Management

• Composure and Resiliency
• Proficient in Microsoft Word and Excel
• Ability to learn and proficiently use internal computer systems and all related department software and technical tools
• Accountable/Reliable/Self Motivated/Efficient
• Service and Detail Oriented
• Accountability

• 4-year college degree is required (any major)
• A desire and curiosity to learn the financial services industry
• Previous experience with customer services a plus
• Previous experience in a service center a plus.