Broker-Dealer Operations Associate III

Guardian Life Insurance • Bethlehem, PA

7d

About The Position

Guardian is seeking a highly skilled professional with outstanding verbal and written communication abilities who demonstrates self-motivation and a clear goal-oriented mindset. You excel in dynamic, fast-paced environments and consistently uphold best-in-class customer service standards. Your patience, empathy, attention to detail, and ability to work both independently and as part of a team further distinguish your professional capabilities.

Requirements

• 0-2 years of experience in broker-dealer operations or a related field
• Bachelor’s degree or equivalent combination of education and relevant work experience
• Knowledge of retail and retirement brokerage/advisory accounts, including required minimum distributions and federal and state tax requirements
• Awareness of operating in a regulated environment and the importance to adhere to policies, procedures, and supervisory controls
• A positive, service-oriented mindset with a commitment to continuous learning and adaptability to change
• Strong ability to multitask, collaborate, manage time, and stay organized effectively
• Demonstrated self-confidence with the ability to work independently and make timely, well-reasoned decisions
• High attention to detail with strong analytical and organizational skills
• Proven ownership and follow-through when reviewing workflows, exceptions, and anomalies, with the ability to offer practical solutions
• Ability to exercise discretion and independent judgment when handling sensitive information and situations
• Proficiency in Microsoft Outlook, Word, and Excel (preferred)

Responsibilities

• Process and prioritize a wide range of client money movement requests including checks, Fed wires, journals, fee reversals, and incoming wires, adhering to established policies, controls, and regulatory requirements.
• Execute and oversee a high volume of client money movement activities, with primary focus on ACH standing and periodic instruction initiation, ensuring accurate setup, validation, and timely processing.
• Apply broad mastery of service and administrative functions, leveraging in-depth knowledge of complex product features and processing systems to resolve issues and exceptions.
• Serve as a point of contact for customer inquiries from Investment Advisers and other internal Guardian teams, providing clear guidance and issue resolution across multiple communication channels (phone, email, and Teams)
• Assist with peer-to-peer coaching and education related to routine, specialty, or complex product features or processing systems
• Meet or exceed defined quality, accuracy, and service-level agreements, demonstrating accountability and follow-through on assigned work
• Communicate with stakeholders across multiple platforms (phone, email, and Teams chats) to respond to and resolve outstanding items

Benefits

• At Guardian, you’ll have the support and flexibility to achieve your professional and personal goals. Through skill-building, leadership development and philanthropic opportunities, we provide opportunities to build communities and grow your career, surrounded by diverse colleagues with high ethical standards.
• As part of Guardian’s Purpose – to inspire well-being – we are committed to offering contemporary, supportive, flexible, and inclusive benefits and resources to our colleagues.
• Explore our company benefits at www.guardianlife.com/careers/corporate/benefits.
• Benefits apply to full-time eligible employees.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Number of Employees: 1,001-5,000 employees