Provide a high level of service and support to independent financial advisors nationwide
Review, process and follow up on a variety of complex brokerage and non-brokerage account requests
Act as subject matter expert for several different responsibilities within brokerage Operations
Act as back-up to co-workers and senior processors through cross-training on all department functions
Interact with clearing firm on routine brokerage account processing requests; provide timely updates and statuses in contact management and workflow systems
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
Ability to process work from multiple operations classifications with a high degree of accuracy
Act as a back-up for Operations Team Lead for escalated service requests and phone calls
Assist in training and mentoring new hires
Work closely with Operations Supervisor and Team Lead to ensure escalations are resolved
Participate with projects and system testing as needed
Identify and recommend opportunities for improving existing procedures, training manuals and other improvements
Create a strong working relationship with vendors, internal stakeholders and advisors
Keep up to date on changes to industry and business processes
All other duties as assigned

3+ years’ experience in financial services operations or broker-dealer setting
Critical thinking and high level of attention to details
Proficiency at Microsoft Word, Excel, Edge, Chrome, Outlook, OneNote, Teams
Must become proficient with CAIS, NetX360, Wealthscape, Front-End Imaging (FEI), Support Center (contact management and imaging workflow systems), eQuipt and other assigned back office functions
Must acquire and retain knowledge of securities industry rules and best practices regarding brokerage account operations
Must have strong organizational and time management skills
Must be able to work independently and maintain elevated levels of quality
Ability to participate and contribute to a team environment
Ability to work overtime, including weekends, as needed to support heavy work volume when applicable

Operations Processing Specialist I

Key skills