Operations Associate

A Midsize, full-service Broker-Dealer, providing financial products and services to clients is currently conducting interviews to fill an Operations Associate position to work in the Back Office. The Back Office consists of Trading, New Accounts, Cashiering, and Branch Services. Our Operations Associates are trained in all four areas to be able to assist our Field Advisors with any situation.

Essential Duties and Responsibilities

• Assist advisors with various client account questions
• Answer questions and provide support to advisors regarding the navigation of Gateway and other Field Advisor systems
• Accurately and efficiently set up New Accounts
• Initiate and confirm completion of account transfers (ACATs)
• Guide Advisors to the correct client documents need to complete specific tasks
• Assist advisors with money movement request (Checks, Fed Wires, and ACH)
• Update client account information in the database
• Respond to emails and calls from field advisors in a timely manner
• Ensure an efficient process for a smooth transition for all aspects of Operations
• Perform additional duties as assigned
• Be willing and able to learn

Job Requirements

• Strong knowledge of Microsoft Office, Word, Excel, and Outlook
• Must be able to communicate well over the phone and by email
• Must be well organized and have the ability to prioritize tasks
• Flexible to work beyond the regular work schedule when necessary
• Series 7 or willing to obtain soon after starting

Preferred

• Bachelor's degree in Finance/Accounting or 2 plus years of finance/brokerage experience
• Familiar with a variety of Financial/Brokerage Industry concepts, practices, and procedures
• knowledge of Docupace, DocuSign, and Adobe a plus