Operations Processor II

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Brokerage Operations Opportunity in Financial Services

Operations Processor II

Location:       2300 Windy Ride Parkway, Atlanta, GA  30339

                        20 E. Thomas Road, Phoenix, AZ  85012

Summary:

The Operations Processor will be part of a team responsible for the accurate, timely and efficient processing of routine and complex transactions involving money and asset movement, supporting the activities associated within Brokerage Operations. The Operations Processor will also serve as a backup resource to coworkers that perform equivalent duties and is required to demonstrate the flexibility to respond to increases in workflow.

Keys:  Brokerage Processor, Operations Support, Broker-Dealer, Brokerage Operations

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
  • Must already be proficient in the following: Microsoft Excel, Word, Outlook and Internet Explorer.
  • Must become proficient with the following systems: NetX360, Front-End Imaging (FEI), SalesForce (contact management and imaging workflow systems), Client Central and back office functions.
  • Responsible for the accurate and timely processing of routine and complex transactions that support the activities associated within Brokerage Operations.
  • 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.
  • Must be able to acquire and retain knowledge of securities industry rules and best practices regarding brokerage account operations and have strong organizational and time management skills.
  • Serves as a backup resource to coworkers that perform equivalent duties and is required to demonstrate the flexibility to respond to increases in workflow.
  • 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:

  • 3 or more years of related experience in the securities industry.
  • Must already be proficient in the following: Microsoft Excel, Word, Outlook and Internet Explorer.
  • Must become proficient with the following systems: NetX360, Front-End Imaging (FEI), SalesForce (contact management and imaging workflow systems), Client Central and back office functions.
  • Must be able to acquire and retain knowledge of securities industry rules and best practices regarding brokerage account operations and have strong organizational and time management skills.
  • Must be team-oriented and client-focused
Equal Opportunity Employer

Advisor Group is an equal opportunity employer. We celebrate diversity in our workplace and we hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.

Eligibility

Applicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Advisor Group.

Unqualified Applications

Advisor Group does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.

Work Location

Unless expressly listed for the position, neither relocation benefits nor remote work arrangements are available for the position. Attendance at assigned business location on designated work schedule is required.

Recruiting Agencies

Advisor Group only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.