Operations Processor II

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Brokerage Operations Opportunity in Financial Services

Operations Processor II


Location:          20 E Thomas Rd Suite 2000, Phoenix, AZ  85012

Summary:

The successful candidate will be part of a team responsible for the accurate, timely and efficient processing of routine and sometimes complex transactions involving financial accounts, money and asset movement, supporting the activities associated within Brokerage Operations.

Making outbound calls to financial advisors to facilitate processing, responding to incoming phone calls for operational support. Additionally, responsible for taking a moderate volume of incoming calls on an ACD line supporting our Advisor Support team.

Responsibilities:

  • Provide a high level of service and support to independent financial advisors nationwide.
  • Review, process and follow up on various brokerage and non-brokerage account requests
  • Act as subject matter expert for several different responsibilities within brokerage Operations.  
  • Act as back-up to co-workers by cross-training on a wide variety of department functions
  • 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 
  • Flexibility is required to respond to increases in workflow

Basic Requirements:

  • 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
  • 2-3 years relatable or transferable work experience; financial services experience preferred
  • 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

Education Requirements:

  • High School Diploma or Equivalent required