Investment Client Srvcs Analyst; S7​/Remote

The Investment Client Services Analyst (Series 7/63) is a licensed, client-facing role responsible for supporting clients and registered financial representatives with investment account questions, performance inquiries, and securities transactions. The analyst reviews, inputs, and verifies trade activity, transfers, and account maintenance while adhering to regulatory requirements, privacy standards, and internal procedures. Success in this role requires strong investment product knowledge, the ability to de‑escalate complex situations, and ownership of issues through resolution.

The analyst also contributes to continuous improvement efforts, embraces new technology, and educates clients and field partners on digital/self‑service capabilities—helping strengthen relationships and support client retention.

• Client and Financial Advisor Support
• Provide counsel, guidance, and direction to clients and registered financial representatives on the purchase and sale of securities. At times, execute mutual‑fund order transactions on behalf of financial representatives and clients.
• Provide timely and accurate investment performance information, leveraging account statements and reporting tools, in response to client investment‑related queries.
• Serve as a primary point of contact for NM Investment home office‑assigned clients, addressing inquiries regarding investment accounts and products.
• Analyze, input, and review investment transactions, including trade executions, transfers, and account maintenance, while ensuring accuracy and compliance.
• Handle phone and transactional responsibilities while adhering to strict confidentiality and privacy standards.
• Serve as a trusted advocate for our financial representatives and partner with them to meet the needs of our clients.
• Regularly support the NMIS business model and promote client retention by identifying opportunities for the field to enhance existing client relationships.
• Deliver a personalized and remarkable experience for our clients by answering their questions, providing servicing options, and helping them with their products or services in a call‑center environment.
• Organizational Agility
• Stay up‑to‑date on industry trends, investment products, and regulatory requirements to provide knowledgeable support to clients and internal stakeholders.
• Embrace new technology and serve as an advocate for website and self‑service capabilities by educating clients and the field.
• Understand risks and impacts that the transaction has on the client or policy.
• Contribute to process improvement initiatives, streamlined operations, and the delivery of top‑tier client service.
• Lead others through change by supporting adaptation to changing environments and new situations.
• Coach, mentor or train others as needed.
• Qualifications:
• FINRA Series 7/63 Licenses
• Associate’s degree in business or related field or equivalent combination of education and experience
• Minimum of 4 years related customer service experience with proven customer‑service skills
• Expert knowledge of investment products or markets
• An intermediate understanding of tax implications related to investments
• Advanced written and verbal communication skills
• Ability to multi‑task and handle high volume of calls/cases with the greatest possible degree of accuracy
• Strong organization skills with the ability to prioritize tasks
• A strong desire to continuously learn and improve
• Strong problem‑solving skills and ability to provide options
• Demonstrated computer experience with solid keyboarding skills and proficiency with current software packages
• Exercise ability to de‑escalate situations effectively while guiding clients through complex and unique concerns.
• Take ownership of calls and anticipate future issues to drive resolutions.
• Research and evaluate possible solutions to complex problems by identifying root cause and deviation from procedures.
• Foster a professional relationship with our clients to enhance brand loyalty.

• Attention to Detail – Focuses on specific details to spot and correct errors in advance of them being found and surpass quality expectations. Performs work with thorough…