About this role

Assisting with servicing escalated issues and other complex activities that impact the Advisor experience.
Review and initiation of both paper and electronic asset transfer requests on behalf of our advisors.
Research and reconciliation of outstanding transfer requests to ensure asset delivery and balancing of books and records.
Effectively communicate verbal and written pertinent information to Financial Advisors and contra firms on the status of the transfer requests.
Regularly contribute to root cause problem solving sessions to continuously improve the Transfer process.
Perform quality control functions to ensure standard work is taking place.
Share pain points with leadership and business partners to find solutions and pursue process improvements.
Leverage Lean Management/Six Sigma strategies and tools to enhance workflows and unlock additional opportunities to increase scalability.

3 + years experience in the Brokerage Operations, specifically Account Transfers/ACATs/Non-ACATs or Bachelor’s degree in related field
3+ years experience leading teams and being a SME resource for your team, also experience working on internal projects

Brokerage Operations – Associate Pod Analyst, Account Transfers

Key skills