Operations Advisor Advocate Specialist II

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Customer Support Opportunity in Financial Services

Operations Advisor Advocate Specialist II


Location:          7755 3rd St N Oakdale MN 55128

Summary:

Act as the primary point of contact with Top Producing advisors and their staff by answering inbound phone calls and processing all Operational requests on a rotating basis.  These requests are received via phone calls, ServiceNet attachments, DocuPace uploads, faxes, and incoming mail.  The requests will range from questions regarding policies and procedures, questions regarding technical aspects of operations, researching operations transactions, guidance on how to use systems provided by Advisor Group, and coordination with non-operational groups throughout Advisor Group to address whatever issue or question may arise.  The topics of requests may include: account establishment and maintenance, advisory business, cash management, transfers, forms requirements, and retirement accounts.

Keys:    Customer Service, Call Center    

Responsibilities:

  • Utilize NETX360, Streetscape, Salesforce, Front End Image System (FEI), Document Management, Client Central, VISION2020, Advisor Portal and OneView to process and research customer requests.
  • Moderate to advanced experience with Account Transfers (ACAT, NON-ACAT and Mutual fund Transfers).
  • Strong knowledge of opening new accounts, updating account information, and interpreting legal documents.
  • Knowledge of IRA, SEP, SIMPLE, ROTH and ESA account rules and contribution limits.
  • Basic knowledge of Qualified Retirement Plans (i.e., 401(k), Individual-K, and 403b(7))
  • Working knowledge of Margin Calls, Cash Dues, Reorganization inquiries, restricted stock, and pending papers transactions. 
  • Process Mutual Fund Systematic reinvestments/sells/exchanges. 
  • Process the following: check disbursements, ACHs, dividend reinvestments, and journal requests, retirement distributions/contributions, tax corrections for 1099-R, 5498 and Tax Information Statements,  Alternative Investments and REIT transactions, Roth Conversions, ACAT, NON-ACAT, internal transfers, and mutual fund transfers,
  • Respond to various inquires and rejects initiated by the clearing firms Pershing and National Financial in NETX360 and Streetscape and conduct research as needed.
  • Receive inbound calls from Top Producer advisors who have service related issues or questions.
  • Create a strong working relationship with Top Producers and their assistants.
  • Educate Advisors where to find information online.
  • Process incoming online requests via Salesforce and FEI and resolve in a timely manner. 
  • Log transactions into SalesForce CRM system for most inbound calls. 
  • Work collaboratively with other business units to assure satisfaction of the needs of our Advisors
  • Meet quality and production goals.
  • Strong interaction with clearing firm and external vendors on routine brokerage and non- brokerage account platform questions. 
  • Provide timely updates and statuses in contact management and workflow systems.
  • Pay close attention to detail, process work accurately and work on repetitive tasks. 
  • Assist with other projects as needed.
  • Provide peer to peer training.
  • Stay abreast of industry changes, business processes, and firm rules
  • Work independently to make decisions regarding resolution of issues. 
  • Exercise judgment to know when to escalate issues to management or senior personnel.
  • Analyze problems and follow through to resolution.
  • Ensure that all published Service Levels are met.

Education Requirements:

  • Minimum of high school diploma or equivalent is required

Basic Requirements:

  • One to two years’ experience in Advisor Group Broker Dealer call center or other related areas of the firm.
  • Three to five years related brokerage experience.
  • Two to three years call center/customer service experience
  • Personal relationship management.
  • Proficient at Microsoft Word, Excel, Salesforce, Internet Explorer, Outlook, PowerPoint, and Legacy back office systems.

Preferred Requirements:

  • FINRA Series 7 license is preferred and encouraged
  • FINRA Series 99 is required within 9 months of hire date