Advanced Brokerage Operations Professional, LIC
About The Position
This position is accountable for answering incoming phone calls and processing new account documents, maintenance requests, transfers, and distributions. This includes analyzing and processing non-routine and/or complex new business and service transactions (including "not in good order" items). Position will also make outbound calls as required. Ensures service-related activities are performed quickly, accurately, cost-effectively and in compliance with internal service and state and federal regulatory standards. Provides support in the development of policies/procedures and quality assessments. This position focuses on using job or technical knowledge and skills to serve customers effectively. Willingly cooperates and works collaboratively to accomplish department objectives. Once training has been completed, ability to work a schedule between the hours of 7:30 a.m. – 6:00 p.m. Central. Monday through Friday, full time. This can be a remote position within the US.
Requirements
- High School, 1-2 years related experience
- FINRA Series 7 and 63/65, or 66 required or obtained within 90 days of hire.
- Strong written and communication skills
- Proficient with MS Excel, MS Word, and applicable financial reporting tools.
- Ability to work day and/or evening shifts according to volume forecasts.
Responsibilities
- Provide services as part of a brokerage operations functional team. This includes answering member and field phone calls, assisting other team members, managing workflow, flexing to provide functional coverage and collaborating with other service teams.
- Maintain a thorough understanding of brokerage operations products, services and affiliated systems including the NFS and Thrivent systems and applicable operational policies and procedures.
- Build and maintain a high quality and professional working relationship with all field professionals, clearing firm and internal business units.
- Analyze, approve and provide high quality and timely service assuring strong member and field satisfaction and achieving and exceeding established service level timeframes.
- Provide quality customer service by providing detailed, accurate and timely communications to ensure the field and clients have a reasonable understanding of the operational status of the account.
- Achieve or exceed department quality standards.
Benefits
- various bonuses (including, for example, annual or long-term incentives)
- medical, dental, and vision insurance
- health savings account
- flexible spending account
- 401k
- pension
- life and accidental death and dismemberment insurance
- disability insurance
- supplemental protection insurance
- 20 days of Paid Time Off each year
- Sick and Safe Time
- 10 paid company holidays
- Volunteer Time Off
- paid parental leave
- EAP
- well-being benefits
- other employee benefits
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
High school or GED
