Position Details

Type Full-Time

Experience senior

Exp. Years minimum four years experience with designated investment products and/or services

Education Bachelors degree in business or related field or equivalency

Category Sales & Business Development

About this role

This role provides technical leadership for client onboarding, supporting Financial Representatives on Investment Plans and collecting non suitability information. The specialist serves as a subject matter expert, drives small projects, and maintains key operational work artifacts and boards.

Key Responsibilities

Assist and educate Financial Representatives on Investment Plans
Collect non suitability information from current or potential clients
Expedite special handling cases and negotiate balanced resolutions
Provide subject matter expertise for CL&I and RIE's and lead small projects
Update and maintain standard work and keep MDI, APB and IPT boards updated while leading weekly GEMBA walks

Technical Overview

The position focuses on securities/investment product onboarding workflows, special handling case resolution, and internal process management. It requires FINRA Series 7 (Series 7 registration) and includes process governance such as updating standard work and maintaining board status (MDI, APB, IPT) while leading GEMBA walks.

Ideal Candidate

The ideal candidate is a senior onboarding specialist with 4+ years of experience handling designated investment products and supporting Financial Representatives. They bring strong analytical judgment, excellent communication, and have earned or can obtain FINRA Series 7 within the required timeframe, while serving as a subject matter expert for internal processes and special handling cases.

Must-Have Skills

Series 7 registrationFINRA Series 7Bachelors degree in business or related field or equivalency and/or equivalent work experienceminimum four years experience with designated investment products and/or servicesanalytical abilityexcellent communication skillsorganizational skills

Nice-to-Have Skills

experience leading multiple projects and assignmentsexperience leading weekly GEMBA walks

Tools & Platforms

MDI boardsAPB boardsIPT boards

Required Skills

Investment Plansnon suitability informationspecial handling casesnegotiate resolutionssubject matter expertiseCL&IRIE'sstandard workcoachingfeedbackMDIAPBIPTGEMBA walksresearch and feasibility of project scopeSeries 7 registrationFINRA Series 7trainingmentoringanalytical abilityorganizational skillscommunication skills

Hard Skills

Investment Plansnon suitability information collectionsecurities administrationspecial handling casesresolution negotiationsubject matter expertise for CL&Isubject matter expertise for RIE'supdating and maintaining standard worktraining/mentoringupdating and maintaining MDI boardskeeping APB boards updatedkeeping IPT boards updatedGEMBA walksresearch and feasibility of project scopeinvestment product eligibility and handlingSeries 7 registrationFINRA Series 7

Soft Skills

analytical abilityjudgment and decision makingexcellent communication skillsorganizational skillsleadership for small projectscoaching and feedbackcustomer-focused resolution negotiationability to work with staff and divisionsprocess improvement mindset

Certifications

Required

FINRA Series 7

Industry & Role

Industry Insurance

Job Function Provide technical leadership and subject matter expertise for client onboarding and investment product support.

Role Subtype Client Onboarding Specialist

Keywords for Your Resume

Client Onboarding Sr. SpecialistClient Onboarding Senior SpecialistFinancial RepresentativesInvestment Plansnon suitability informationspecial handling casesnegotiate resolutionssubject matter expertCL&IRIE'sstandard workcoachingfeedbackMDIAPBIPTGEMBA walksproject scope feasibilitySeries 7 registrationFINRA Series 7Investment productstrainingmentoringcoaching and feedback

Deal Breakers

FINRA Series 7 required for duties related to securities and other investment products, Minimum four years experience with designated investment products and/or services

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