Brokerage Operations Processing Specialist - Aug 8th and Sep 19th Training Classes

Brokerage Operations Opportunity in Financial Services

Operations Processing Specialist - Aug 8th and Sep 19th Training Classes

Location(s):    

20 East Thomas, Phoenix, AZ 85912

2300 Windy Ridge Parkway, Atlanta, GA  30339 

877 Executive Center Drive West, St. Petersburg, FL 33702

7755 Third St. North  Oakdale, MN  55128

12325 Port Grace Blvd, La Vista, NE 68128

Advisor Group returns to the office with hybrid schedules in May 2022, so we are seeking candidates willing to work a split schedule between home and the office.  Consideration will be given to applicants seeking 100% remote work from home.

Role Type:  Full-time               

Summary:

Advisor Group' Operations Processors are part of a team responsible for the accurate, timely and efficient processing of routine and complex transactions involving money and asset movement, supporting the activities associated within Brokerage Operations. Our Operations Processors also serve as backup resources to coworkers that perform equivalent duties and demonstrate the flexibility to respond to increases in workflow.

Responsibilities:

• Review, process and follow up on various brokerage and non-brokerage account requests including asset movement requests, IRA distributions, journals between brokerage accounts, alternative investment processing and other cash and asset processing.

• Must act as subject matter expert for several different responsibilities within brokerage Operations.  Act as back-up to co-workers by cross-training on all department functions and demonstrate flexibility to respond to influx of workflow. 

• Interact with clearing firm on routine brokerage account processing requests; provide timely updates and statuses in contact management and workflow systems

• Pay close attention to detail, process work accurately and work on repetitive tasks

• Answer internal and external phone calls; make outbound phone calls to our advisors.

• Update contact management systems with professional grammar and spelling.

• Exercise judgment to know when to escalate issues to manager or supervisor

• Assist in training co-workers to act as back-up for primary responsibilities

• Respond to incoming requests from internal and external customers including research and problem solving, entering data into contact management system, and providing timely follow-up communication.

• Make appropriate decision on when to lend assistance to co-workers to ensure that department service levels are maintained.

• Assist with special projects and research

• Provide a high level of service and support to independent financial advisors nationwide.

• Review and process a high volume of time sensitive notifications and respond to high volume of incoming service requests.

• All other duties as assigned.

Education Requirements:

• Bachelor's degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree.  Minimum of high school diploma or equivalent is required. 

Basic Requirements:

• 2-3 years relatable or transferable work experience; financial services experience preferred
• Proficiency at Microsoft Word, Excel, Internet Explorer, Outlook, PowerPoint
• Excellent communication & organizational skills
• Ability to thrive in a fast paced, entrepreneurial environment
• STRONG customer focus orientation
• High attention to detail, analytical mindset, and problem-solving skills
• Ability to work independently and maintain high levels of quality
• Ability to work and remain focused under pressure
• Ability to participate and contribute in a team environment
• Ability to become proficient with the following internal systems: NetX360, Front-End Imaging (FEI), Salesforce (contact management and imaging workflow systems), Client Central and back office functions
• Ability to acquire and retain knowledge of securities industry rules and best practices regarding brokerage account operations and have strong organizational and time management skills
• Ability to pass the Securities Industry Exam within 1 year

Preferred Requirements:

• 2+ years' experience in financial services operations or broker-dealer setting
• Bachelor's Degree in Business, Finance or related field is preferred
• CRM experience / Salesforce experience
• Completion of FINRA SIE exam FINRA
• Series 7 license