"Alerted.org

Key Responsibilities and Skills:

+ Actively participate in department and cross‑functional projects, contributing subject‑matter expertise on customer processes, regulatory requirements, operational workflows, and IRS‑related rules or documentation standards.

+ Identify and report instances of noncompliance with organizational policies, regulatory guidelines, and/or IRS‑related rules, escalating issues appropriately to ensure corrective actions and audit readiness.

+ Provide advanced product and service information, incorporating regulatory or IRS‑specific detail when relevant, and respond to complex customer questions with accuracy and clarity.

+ Manage and resolve escalated customer issues with a high degree of independence and judgment; provide managerial approvals and regulatory compliance checks as required.

+ Deliver a consistently high‑quality service experience while identifying opportunities to support business retention, improve operational processes, or enhance compliance. Responsibilities may include case processing, handling complex or sensitive inquiries, and performing detailed research to resolve client problems.

+ Operates with full competence and independence in delivering high‑quality services that meet operational, regulatory, and IRS‑related requirements; may provide technical guidance or training to others.

+ Fully proficient in aligning organizational processes with customer needs while ensuring adherence to regulatory expectations and project deliverables.

+ Demonstrates strong ability to translate customer requirements into business language and processes, incorporating compliance, documentation, and IRS‑appropriate considerations.

+ Builds and strengthens customer relationships by delivering positive, compliant, and accurate service experiences; may mentor or guide peers on best practices, regulatory awareness, or workflow improvements.

Other Responsibilities

• Identify, within the team, instances of noncompliance with the organization's policies and procedures and/or relevant regulatory codes and codes of conduct, reporting these instances and escalating issues as appropriate.

• Provide advanced product/service information and respond to complex customer questions about the product/service.

• Respond to more advanced issue escalations promptly and appropriately; provide managerial approvals as required.

• Provide a quality service to clients while identifying opportunities to secure new business or support retention. Responsibilities may include processing cases, dealing with complex queries, and investigating and resolving client problems.

Knowledge of:

+ Rules and regulations of the IRS and DOL pertaining to IRAs and qualified plans

+ Fundamental financial planning and investment concepts, practices and procedures used in the securities industry

+ Principles of securities industry operations and financial services and products

Other Skills:

• Works to deliver required services to clients to the required standards. Typically works without supervision and may provide technical guidance.

• Works to orient the organization around delivering to the key needs of clients. Typically works without supervision and may provide technical guidance.

• Works to articulate client needs in the client's business language and business context. Typically works without supervision and may provide technical guidance.

• Works to connect with clients to strengthen the relationship, meeting personal needs through positive client experiences. Typically works without supervision and may provide technical guidance.

While the following certifications are not required for this role, they are highly beneficial and strongly encouraged:

+ Securities Industry Essentials (SIE) Exam

+ Financial Industry Regulatory Authority (FINRA) Series 99 – Operations Professional

+ FINRA Series 7 – General Securities Representative

+ Certified Investment Services Professional (CISP)