Operations Specialist
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As an Operations Specialist, you will work as a liaison between our field staff and product companies, our advisors achieve the company’s core objective of holistic approach to planning. These processes ensure our clients receive accurate and timely service to achieve their financial goals.
- Liaison for Registered Representative and Product Providers
- Daily review of new business, for accuracy and compliance reviews then follow up with Product Providers and Registered Representatives to complete and settle transactions/ business
- Enter Trades, Reconcile Settlements, Clearing, Regulatory Aspects
- Review trade exceptions that are reported through the clearing firm and Product Providers
- Manage a case load of communications including phone calls, and emails from Registered Representatives, and Product Providers to provide critical support in the funding process of customer accounts
- Track and assist the timely transfer of assets for client accounts
- Handling service questions on clients’ accounts as well as assisting with administrative, procedural, operational and trade information
- Post commissions timely and accurately
- All other task assigned
Education/Knowledge & Skills:
- Excellent communication (verbal and written) and interpersonal skills
- Strong attention to detail
- Excellent problem solving skills
- Team player
- Ability to review high degrees of independent judgment to coordinate investigations, review documentation and resolve issues
- Good problem solving and decision-making ability
- Proven analytic and time management skills; quick learner
- High proficiency with PC desktop applications and MS Office
- Bachelor's degree in Finance, Economics, Business Administration, or other related field or equivalent work experience
- Must have the ability to obtain securities and insurance licenses
Benefits:
- Health/Dental/Vision Insurance, Paid Time Off, 401K, Vol LTD, Vol Life, Flexible Spending
- Eligibility Requirements Vary
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