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Brokerage Operations

Open Systems Technologies

This is a Full-time position in Phoenix, AZ posted July 12, 2021.

We have a client in the Phoenix or ATL area looking to add a Brokerage Operations Specialist onto their team!

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 Must be team-oriented and client-focused Ability to work overtime, including weekends, as needed to support heavy work volume when applicable.

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.

Proficiency in the Microsoft programs, specifically Excel 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 
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