Senior Operations Processor

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Brokerage Operations Opportunity in Financial Services

Senior Operations Processor


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.

The Operations Processor II is responsible for 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.

Keys: Entry-level, Brokerage Processor, Operations Processor, Brokerage Processing, Operations Support, National Financial Processor, Broker-Dealer, Financial Services, Brokerage Operations, Securities Industry

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.
  • Ability to process work across multiple document class work types within operations.
  • Ability to process a high volume with a high degree of accuracy.
  • Act as a back-up for Operations Team Lead for escalated service requests and phone calls.
  • Assist in training and mentoring of new hires.
  • Identify and recommend process improvement opportunities.    
  • Work closely with Operations Supervisor and Team Lead to ensure escalations are resolved
  • Participate with projects and system testing as needed.
  • Identify opportunities to create new or improve existing procedures and training materials.
  • Create a strong working relationship with vender, internal stakeholders and advisors.
  • Keep up to date on changes to industry and business processes.
  • Flexibility is required to respond to increases in workflow.
  • All other duties as assigned.

Education Requirements:

  • High school diploma (or equivalent) is required. 

Basic Requirements:

  • 5-8 years relatable or transferable work experience
  • Strong knowledge of securities industry rules and best practices regarding brokerage account operations
  • Strong organizational and time management skills.
  • Must be team-oriented and client-focused
  • 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 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 Office programs, specifically Excel
  • Series 99 required, or ability to obtain within 6 months of hire

Preferred Requirements:

  • FINRA Series 7 license preferred