Broker Dealer Operations Administrator
About The Position
BCG Securities, a subsidiary of Horace Mann is seeking a detail-oriented and customer-focused Broker Dealer Operations Administrator to join our Broker-Dealer Operations team. In this role, you'll play an integral part in supporting our registered representatives and ensuring operational excellence across account administration, asset movement, and regulatory compliance. As a trusted operational partner, you'll help facilitate the onboarding of new clients, manage account maintenance activities, and collaborate with internal teams and our clearing firm to deliver a seamless advisor and client experience. If you thrive in a fast-paced, highly regulated environment and enjoy solving problems while supporting financial professionals, we'd love to hear from you.
Requirements
- Business degree or equivalent professional experience required.
- Must obtain FINRA Securities Industry Essentials (SIE) and Series 7 licenses within six months of hire.
- Strong organizational skills with the ability to manage multiple priorities in a fast-paced environment.
- Ability to handle confidential information with discretion and professionalism.
- Ability to work independently while maintaining strong collaboration with team members.
- Strong customer service and relationship management skills.
- Excellent verbal and written communication skills.
- High attention to detail and commitment to operational accuracy.
- Strong analytical and problem-solving abilities.
- Ability to identify opportunities for continuous process improvement.
- Adaptability and ability to manage multiple projects simultaneously.
Responsibilities
- Process operational requests including asset movements, account transfers, and account maintenance activities.
- Assist registered representatives with client onboarding, account setup, and operational support.
- Monitor pending requests, follow up on outstanding documentation, and escalate issues when appropriate.
- Partner with our clearing custodian to resolve account transfer and transaction-related inquiries.
- Ensure operational activities comply with FINRA, SEC, and company regulatory requirements.
- Support internal audits, reporting requirements, and recordkeeping obligations.
- Maintain accurate documentation and operational records in accordance with regulatory standards.
- Handle confidential client and company information with the highest level of professionalism and discretion.
- Build strong working relationships with registered representatives by responding to operational inquiries and providing timely guidance.
- Deliver exceptional service by resolving operational issues efficiently and accurately.
- Communicate effectively with internal departments, business partners, and external vendors to facilitate timely resolution of requests.
- Coordinate with department leadership to maintain efficient workflows and service levels.
- Identify opportunities to improve operational processes, increase accuracy, and enhance the advisor experience.
- Participate in special projects related to broker-dealer operations, regulatory initiatives, system enhancements, and business process improvements.
- Perform additional duties and responsibilities as assigned.
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
Education Level
Associate degree
