**Responsibilities** + Develop knowledge and understanding of the organization's policies and procedures and of relevant regulatory codes and codes of conduct to ensure own work adheres to those standards. Obtain authorization from a supervisor or manager for any exceptions from mandatory procedure. + 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. Responsibilities may include processing cases, dealing with complex queries, and investigating and resolving client problems. **Skills** Works with full competence and typically without supervision (and may provide technical guidance) to: + Deliver required services to clients to the required standards + Orient the organization around delivering to the key needs of clients + Articulate client needs in the client's business language and business context + Connect with clients to strengthen the relationship, meeting personal needs through positive client experiences **Licenses/Certifications** + **SIE required** (prior to start) _provided that an exemption or grandfathering cannot be applied._ + **Series 7 License** **required,** _or ability to obtain within six (6) months._ + **Series 63 (or 66) License** **required** , _or ability to obtain within six (6) months._