Operations Specialist, Rotating Team

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Brokerage Operations Opportunity in Financial Services

Operations Specialist- Rotating Team


Location:          St. Petersburg, FL

Summary:

Rotate throughout the organizations to support multiple aspects of the operations team during times of training or volume spikes. Support all advisors by answering inbound phone calls and processing operational requests on a rotating basis.  These requests are received via phone calls, Service Net 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, Processing, Call Center, IA Ops, Operations

Responsibilities:

  • Maintain knowledge of multiple aspects of the operations business to be prepared to flex to any area in need of additional support, to include handling inbound calls, processing work, and understanding advisory business.
  • Utilize NETX360, Wealthscape, Salesforce, Front End Image System (FEI), Document Management, Client Central, VISION2020, Advisor Portal, OneView and WMP 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 inquiries and rejects initiated by the clearing firms Pershing and National Financial in NETX360 and Wealthscape and conduct research as needed.
  • Receive inbound calls from all advisors who have service related issues or questions.
  • 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 an industry related operations center.
  • 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