Advice Client Service Representative

Job Description:

At Vanguard, we have a client-first mentality that we live and breathe every day through our mission, “to take a stand for all investors, to treat them fairly, and to give them the best chance for investment success.” As an Advice Support Representative, you will partner closely with advisors to efficiently serve our advised clients through the phone channel, while building your financial acumen. 

How you’ll make a difference:

• Answer inbound calls to meet the service and trading needs of both Vanguard advisors and advised clients.

• Partner with financial advisors to execute on multiple planning deliverables related to the managed client experience: onboarding, implementing portfolios, rebalancing, and meeting point-in-time monetary needs.

• Ask probing questions to identify client needs and collaborate with financial advisors and other business groups to best meet clients’ service needs.

• Develop and maintain current knowledge of Vanguard’s funds, services, and technology, as well as an understanding of current market factors and how they affect Vanguard’s funds and products.

• Participate in special projects and perform other duties as assigned.

Advance your skill set and your career

The Advice Support Representative role is a great launching point for individuals looking to start a career in advice. In this role, you will work alongside Vanguard’s financial advisors to help them meet client servicing needs and execute on account changes and trading needed to maintain advised client portfolios. Potential applicants will have strong written and verbal communication skills, a desire to learn about Vanguard’s investment and advice methodology, and the desire to interact with clients and internal business partners. 

What it takes

• The SIE is a mandatory requirement of the job and must be obtained no later than 14 calendar days before identified start date

• Undergraduate degree or equivalent experience is required.

• Interest in financial planning, investment advice, and wealth management (preferred, but not required).

• Ability to successfully pass the Series 7 and Series 63 (or equivalent licenses) within the time frame described in Vanguard’s FINRA Licensing Policy by utilizing resources and support provided by Vanguard.

• Ability to maintain an understanding of investment planning methodology and plan implementation strategies.

• Learning agility to navigate continuously evolving desktop applications and technology-based advice offers.

• Excellent communications skills (both written and verbal).

• Strong analytical, organizational, and time management skills.

• Confidence speaking directly with clients.

How we will help:

Choosing the next step in your career path can be a difficult decision – we are here to support you to ensure you thrive professionally from the moment you join. Our training, development, culture, and benefits are designed with crew in mind. We will provide you with:

• Fully paid training, coaching, and continuous support needed to pass the SIE and FINRA Series 7 & 63

• Acumen building on our products and services to equip you with the expertise necessary to have meaningful conversations with our clients

• Access to learning and development resources to equip, and empower, you with the skillset to continuously improve and problem solve in collaboration with your peers and business partners

• Hands-on coaching by purpose-driven leaders to help you excel in your current role, and prepare you for the next

If you are offered and accept this position, and you do not have the necessary FINRA licenses for the role, then you must obtain the required licenses within the specified period of time.   Additionally, if you are not currently registered with FINRA in any capacity, prior to moving into this licensed role, you will be asked to provide authorization for Vanguard to conduct a credit and criminal check in accordance with the FINRA regulations.  Please note, the credit and criminal check requirement does not apply to crew who are currently registered with FINRA.  Please reference the following article with regard to the licensing requirements of this position.

Special Factors: 

You should be aware this will designate you as an Advisor Access Person and carries with it certain responsibilities and restrictions. Reference the Code of Ethics Policy for further details.