Advisor Service Associate

PrimeLending•Dallas, TX

18d

About The Position

Hilltop Securities is currently seeking an Advisor Service Associate to support its Momentum Independent Network (MIN) team with daily administrative tasks and special projects. Hilltop Securities Inc., a member of FINRA and SIPC, is a wholly owned subsidiary of Hilltop Holdings. The Hilltop Independent Network (HTIN) is a brokerage firm that provides support and services to independent registered representatives. In this role, the Advisor Service Associate will support the MIN team through administrative functions and project-based initiatives. Key responsibilities include initiating outbound calls to clients to verify their identity, confirm banking and transaction instructions, and document verification activities in accordance with operational procedures and compliance standards for money movement requests.

Requirements

High school graduate or equivalent.
Self-motivated team player with ability to work in a fast-paced environment while maintaining accurate, complete, and high-quality work in a timely manner.
Ability to prepare and maintain confidential records and reports.
Excellent relationship building and communication skills, both oral and written
Ability to multi-task and coordinate with other departments and individuals at all levels
Intermediate computer skills – running macros in Excel, v-lookup, and basic SQL – updating date and running search.

Nice To Haves

College degree preferred or 2 years previous work experience.
Desire to obtain SIE and Series 7

Responsibilities

Responding to daily operational emails regarding money due notice, NSF vision checks, insufficient funds for recurring distributions, IRA debits, returned mail, etc. These communications require follow by email, cases and/or phone.
Send notices to reps and their teams using a macro.
When we need to push out a notice with list of affected clients Service Center updates Updated forms, Hilltop Highlights, Supervisory Alerts, Compliance Alerts, etc. need to be uploaded to the Service Center in a timely manner.
Updates to the phone list is manual.
Keep the Who We Are tabs up to date.
Work MIN cases in Service Center
DocuSign requests
General inquiries
Running occasional SQL queries
Keep MIN rep list updated with reps and staff – additions and terms.
Term rep letters to clients
Demand letter for termed reps
Help filter through accounts for IRA, AIP, and H&R fee.
Keep list of exemptions (manual)
Close accounts before fee are charged.
Clean up accounts with debits after fee is charged.
Admin support & handling incoming mail.
Call campaigns – education conference, new technology updates, etc.
UAT testing
Assist with onboardings.
Import for printing. And/or DocuSign
Format new forms/applications for importing for onboardings & DocuSign.