Operations Associate, Client Services
About The Position
Make your next move an expert one. At Colliers it’s not our success that sets us apart, it’s how we achieve it. Our people are passionate, take ownership and always do what’s right for our clients, people and communities. Why Colliers? Our enterprising environment needs your expertise to facilitate Colliers’ continued growth as an industry leader. Our nimble, decentralized culture can provide you with a wealth of opportunities to learn about our business and quickly gain experience to accelerate your career. SUMMARY The Operations Associate is responsible for supporting the daily activities of the Operations Department and providing operational and client service support to registered representatives and internal stakeholders. This role assists with brokerage account servicing, transaction processing, regulatory documentation, and operational controls to ensure efficient and compliant business operations.
Requirements
- High School Diploma or equivalent GED required, bachelor’s degree preferred
- 2-5 years of brokerage operations or related financial services experience preferred
- Prior experience within the broker-dealer or securities industry required
- Working knowledge of brokerage operations processes and procedures
- Understanding of regulatory requirements applicable to broker-dealer operations
- Ability to process requests in accordance with firm policies, procedures, and regulatory requirements
- Strong written and verbal communication skills
- Strong analytical and problem-solving abilities
- Ability to manage multiple tasks while maintaining strong attention to detail and accuracy
- Strong organizational and time management skills
- Regular and reliable attendance required.
Nice To Haves
- Ability to obtain FINRA Series 99 preferred.
Responsibilities
- Provide high-quality service and operational support to registered representatives, support staff, and clients
- Prepare account documentation and related account correspondence
- Open, maintain, and service brokerage accounts in accordance with firm policies and regulatory requirements
- Research and resolve customer inquiries in a timely and professional manner
- Respond to inquiries from our clearing firm regarding customer transactions and account activity
- Initiate and review requests for money movement in accordance with firm procedures and controls
- Perform margin reconciliation and assist with monitoring margin related activities
- Troubleshoot and resolve operational processing issues
- Assist with trade processing and reconciliation of trade-related discrepancies
- Participate in operational and service-related projects and initiatives
- Ensure required account documentation and records are maintained in accordance with firm and regulatory standards
- Perform representative registration reconciliation and related operational checks
- Support internal audit preparation and help enforce internal procedures and operational controls
- Ensure activities comply with firm policies and applicable regulatory requirements
- Cross-train on operational functions performed across the team to support business continuity
- Other duties as assigned
Benefits
- We offer a comprehensive benefits package for employees and their families including medical and dental plan; 401k plan including company matching; firm funded life and disability insurance.
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
Education Level
High school or GED
