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Financial Services Brokerage Specialist- (Charlotte, NC)

Financial Services Brokerage Specialist- (Charlotte, NC)

Requisition ID 
Job Locations 
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Operations and Tech Services


Alight Solutions Is Looking For A Financial Services Brokerage Specialist

As part of an industry-leading team, you will help drive results for our clients by delivering innovative and effective solutions as part of our Advisory Services business group within Alight Solutions in Charlotte, NC. . As a Financial Services Brokerage Specialist, you will report directly to the Program Manager. 


Your Impact As A Financial Services Brokerage Specialist

Personal Finance Center & Brokerage Specialist

The Personal Finance Center & Brokerage Specialist reports to the PFC/Brokerage Program Manager in Charlotte, NC.  Primary responsibilities will include defined contribution plan customer service support, trading, ongoing project management for PFC/Brokerage services, and will develop new customers as well as retain existing customers.

For the Personal Finance Center:

The specialist must have an understanding or quickly demonstrate the ability to obtain the understanding of the types of services/accounts available to plan participants through the Brokerage/PFC and specific company defined contribution plans.  The specialist must also have the ability to listen, diagnose customer needs, and effectively communicate with both internal and external customers.

He or she will be responsible for identifying and categorizing contacts necessary to consult on qualified plan requirements, IRAs, College Savings Plans, and Immediate Fixed Annuities and/or Advisor Relationships.  The Specialist will be required to make initial contacts to prospective customers who have expressed interest in one or more of the above named areas.  They will also be responsible for inputting and maintaining record of these calls in the customer database.

In addition, the Personal Finance Specialist may be responsible for promoting the PFC by ongoing interaction with the client teams educating them on the PFC opportunities to relay to their employees.  A Specialist will also be required to manage various projects necessary to further develop or market the PFC programs.


Job Responsibilities:

The Specialist must have familiarity with or demonstrate an ability to build a knowledge base in the following areas:

  • After Tax Brokerage Accounts:  Must have a working knowledge of types of After Tax Brokerage Accounts that are available and objectively help customer select to most appropriate provider.
  • Defined Contribution Plans:  Must have working knowledge of general qualified plan requirements.  Must be able provide information and guidance around the affects of plan distributions, loans, investment choices and other specific plan rules.
  • IRAs:   Must understand types of IRA accounts that are available and be able to identify which type of IRA is appropriate for the employee and communicate.
  • College Savings Plans:  Must have an understanding of the college savings plan options available through the PFC. Must be able to effectively navigate internal PFC 529 web site to retrieve needed information. 
  • Advisory Services:  Must be able to build a knowledge base and effectively communicate to employees what the advisor relationship entails.
  • Total Benefit Administration and Your Benefit Resources web site:   Ability to navigate and understand information housed in these systems which will support the distribution process, investment discussion or other relevant areas.

For the Financial Services Brokerage:

The Representative must be familiar with or demonstrate the ability to obtain knowledge of the securities industry and brokerage investing.  Additionally, must have an understanding of the other services provided through Alight Financial Services and how they relate to our brokerage platform.  Must have the ability to listen, diagnose customer needs, and effectively communicate with brokerage customers’ as well as internal and external support providers.

Must be able to work independently, trouble shoot and research issues and have the ability to develop solutions.  Representative should be articulate in their oral and written communication and maintain timely and accurate records of calls and transactions in our brokerage databases.


Product & Services Knowledge –

The representative must have familiarity with or demonstrate ability to build a knowledge base in the following areas also supported by Alight Solutions Financial Services and the Personal Finance Center (PFC):

  • Brokerage Services (including SDBAs) – must have solid understanding of brokerage services including product types (i.e., stocks, bonds, mutual funds, etc.), Web tools and services, pricing and other issues as relevant to our clients and business.
  • After Tax Brokerage Accounts –Types of After Tax Brokerage Accounts that are available to customers’ retirement accounts. 
  • IRAs – must have a “working knowledge” of IRA accounts that are available, understand relationship to questions the PFC Specialists encounter and  assist with identifying suitable IRAs from our platform.

PFC & Brokerage required skills and experience –

  • Strong communication skills will be necessary, including the ability to work well interpersonally with your peers, supervisors and customers.
  • Marketing or sales experience will be valued in this role.  The ability to influence others will be necessary.  Results orientation will be needed to track impact of efforts and adjust as needed.
  • Project management will be required, as this role will track brokerage center customer service/trading, client implementations, new account capture as well as retention of existing clients. 
  • Strong analytical skills to problem solving and ability to troubleshoot basic technical problems.
  • Must be detail oriented with high degree of personal accountability. 
  • Ability to work in high pressure environment with strict deadlines.
  • Teamwork will be needed to engage the energies of others on the team, within our Communication and Customer Services Practices and elsewhere to help in achieving goals.


The Specialist will be responsible for the following activities:

  • Receive inbound calls for Personal Finance Center & Brokerage Clients and provide financial education related to various retirement plan topics.
  • Make warm outbound calls to customers who have expressed interest in learning more about the PFC or terminated vested participants to offer assistance with distributions. Outbound calls are intended to educate clients on the PFC programs in response to mailings received and or seminar evaluation sheets.
  • Maintain contact data from mail responses, seminar evaluation sheets, and incoming emails into the PFC s customer database system.
  • Become familiar with and provide direct company defined contribution plan requirements and basic IRS regulations related to 401(k) transactions.
  • Interface with the Benefits Center Customer Service teams as necessary to ensure a seamless customer experience (e.g., educating CSAs on PFC/brokerage products and services, reciprocal sharing of best practices, identifying techniques for improving referrals).
  • Interacting with customers with account questions; update account information as needed; respond to customer inquiries on related issues; troubleshoot basic technical problems; provide product and service literature upon request.
  • Responsible for participating in the process of setting up new accounts and maintaining accounts for customers.
  • Executing trades in compliance with established procedures.
  • Accurately recording account openings, trades and other transactions in our record keeping database.
  • Researching and resolving customer issues related to accounts.

Project Management

Specialists will be required to manage assigned projects, such as Seminar Presentations and PFC Client Team communication.

You Bring Knowledge and Expertise


Required Experience:

Undergraduate degree and average of 5 years financial industry experience.

  • FINRA Series 7, 63.  Able to obtain Series 66 or equivalent within 90 days of employment. 
  • Customer Service, Trading, Sales and/or Marketing experience preferred.
  • Strong rapport building and interpersonal skills are necessary.
  • Ability to educate callers on complex retirement and education funding concepts is necessary.
  • Utilize conceptual thinking to identify patterns, apply concepts and clarify complex information
  • Demonstrate sustained confidence and resilience during challenging interactions
  • Actively listen to customers to understand both articulated and unarticulated needs
  • Ability ask relevant probing questions to better assess customer needs
  • Use data to persuade and influence customers to objectively guide them
  • Good presentation skills required



  • Undergraduate degree or equivalent years of industry experience.


We offer you

A competitive total rewards package, continuing education & training, and tremendous potential with a growing worldwide organization.


Our Colleague Experience

At Alight Solutions, we are reimaging how people and organizations thrive. To deliver on this purpose, we do things differently. From company leaders to our newest colleagues, we all play a role in bringing our values to life. Every colleague shapes how Alight can become better, stronger and brighter – together. With technology as our catalyst and humanity at our core, we advance each day toward a better future in work and life.


About Alight Solutions

As the leading provider of benefits administration and cloud-based HR and financial solutions, we enhance work and life through our service, technology and data. Our 22,000 colleagues across 14 global centers deliver an unrivaled consumer experience for our clients and their people. We are Alight. Reimagining how people and organizations thrive.

Alight Solutions provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, creed, sex, sexual orientation, gender identity, national origin, age, disability, genetic information, pregnancy, childbirth or related medical condition, veteran, marital, parental, citizenship, or domestic partner status, or any other status protected by applicable national, federal, state or local law.  Alight Solutions is committed to a diverse workforce and is an affirmative action employer.


Nothing in this job description restricts management's right to assign or reassign duties and responsibilities of this job to other entities; including but limited to subsidiaries, partners, or purchasers of Alight business units.  





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