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Associate Consultant - SAA

Securities America, Inc. Omaha, NE

Job Description

The primary responsibility of this position is to interface with advisors in service and support of the business done through all advisory programs offered through Securities America Advisors and Arbor Point Advisors.  Additionally, act as a central point of contact and liaison between the Operations, RRC, and Compensation departments to resolve service issues in a timely manner. This position will also play an important role in the development and maintenance operational and service workflow systems for all SAA and APA programs. 

Job Duties/Tasks:
This position is responsible for, but not limited to the following:

  1. Responsible for front-line service/support needs via phone queue and email queues for all advisors, including SAA, Arbor Point, and independent RIAs.  Ability to adhere to queue availability requirements and regional timezone coverage responsibilities.
  2. Deliver high level of service and support through fielding inbound calls and making outbound calls as needed to complete service related tasks related to all advisory programs and technology for SAA and APA.   
  3. Provide support for the Managed Opportunities platform through ongoing service delivery for advisors to include the following, but not limited to:  General navigation, proposal generation, service request submission, trading functionality, model building, and performance reporting.
  4. Provide support for the Albridge Wealth Reporting, CashEdge, and AdvisoryWorld, NFS Fee-based Tools, and Orion/OrionConnect applications and work closely with the service teams at each firm to ensure issues are addressed in a timely manner.
  5. Coordinate efforts and provide support to transition consultants during the advisors transition to SAI/SAA/APA to ensure success.
  6. Work closely with SAI Operations department to ensure efficient and proper account set up and maintenance processes and procedures and to manage resolution of specific account problems. Assist with daily email request via ENV, daily dashboard analysis on Managed Ops, service request support, and NBS related questions with regard to SAA/APA programs.
  7. Create and maintain training manuals and resources for all SAA/APA programs.
  8. Develop and support operational workflow systems for all SAA/APA programs and maintain the Operations Guide to Fee-Based Business to ensure that it is accurate.
  9. Analyze current processes and make recommendations on quality process improvements with internal systems and workflows.
  10. Participate in the identification of potential risks associated with SAA/APA programs and contribute to the creation of gap closures to mitigate risk.
  11. Develop and foster working relationships with SAA/APA advisors through outreach as it relates to call campaigns. 
  12. Research industry-related trends and developments that may impact SAA/APA and our advisors.
  13. Cross train on internal, firm level reporting responsibilities which may include AUM reports, advisor level production reports, premier sponsor reports.  
  14. Perform other duties as assigned by SAA/APA leadership.

Position Requirements:

  • Bachelor’s degree in finance or other business related field or equivalent work experience preferred
  • 2 – 4 years of securities industry related experience
  • Prior customer service experience preferred
  • Ability to earn the Series 7 and Series 66 within 18 months of hire, but securities licenses preferred
  • Ability to provide an extraordinary level of customer service and support to advisors using the SAA fee based programs
  • Knowledge of current SAA products and services and ability to acquire deeper knowledge of SAA operations and systems
  • Knowledge of new account paperwork requirements, understanding of the NBS system, and the eOffice advantage program is preferred.
  • Skill in networking and establishing relationships with existing and prospective Securities America Advisors 
  • Ability to establish cooperative working relationships with various business units and build consensus and support for ideas and initiatives
  • Knowledge of the securities industry practices, procedures, and terminology, including NASD and SEC rules and regulations
  • Ability to analyze issues, identify key variables, and develop appropriate solutions
  • Ability to communicate with co-workers, customers, and outside contacts in a courteous and professional manner
  • Ability to organize, prioritize, and handle multiple tasks simultaneously
  • Ability to pay close attention to detail, work under pressure 
  • Knowledge of SAI and SAA policies, procedures, and systems
  • Skill in excellent verbal and written communications 
  • Skill in operating personal computer and various software packages (i.e. Microsoft Office, Outlook, Excel, etc.) 
  • Ability to travel as needed (approximately 5% of time) 
  • Ability to work flexible hours (may require evenings and weekends)
  • Ability to be at work on a regular and predictable basis


Job Details

Date Posted November 14, 2019
Date Closes December 14, 2019
Located In Omaha, NE
Department Securities America Advisors
Job Type Full-time Employee
Compensation Salary, Based on Experience
Experience Level Intermediate (3-7 yrs. experience)
Start Date Immediately
Positions Available 2
SOC Category 43-4051.00 Customer Service Representatives
Zipcode 68138
Name Human Resources
Address 12325 Port Grace Boulevard
City, State and Zip LaVista, NE 68128
Phone 1-800-747-6111
FAX 402-384-7589

This job offers the following benefits

  • 401(k) Retirement Savings Plan
  • Dependent-Care Spending Accounts
  • Flexible Spending Accounts
  • Health-Care Spending Accounts
  • Accidental Death and Dismemberment
  • Dental
  • Dependent Life Insurance
  • Employee Assistance Program (EAP)
  • Life Insurance
  • Long-Term Disability
  • Maternity / Paternity / Family Leave
  • Medical
  • Prescription Drug Plan
  • Short-Term Disability
  • Vision
  • Voluntary Life Insurance
  • Bereavement Pay
  • Casual Dress
  • Continuing Education Program
  • Dry Cleaning / Laundry
  • Employee Referral Program
  • Fitness Classes
  • Free Parking
  • Health Fair
  • Holiday Party
  • Massage Therapy
  • Nursing Facilities
  • Paid Holidays
  • Paid Vacations
  • Tuition Reimbursement
  • Wellness Program
  • Bonus Plan
  • Merit Increases
At a Glance
Enjoy these benefits
  • 401(k) Retirement Savings Plan
  • Dependent-Care Spending Accounts
  • Flexible Spending Accounts
  • Health-Care Spending Accounts
  • Accidental Death and Dismemberment
  • And More ...