Operations Processing Specialist I

Advisor Group•Atlanta, GA

1d•$42,000 - $45,000•Hybrid

About The Position

The Operations Processing Specialist will be part of a team responsible for the accurate, timely and efficient processing of routine and complex transactions involving client account opening, account maintenance, rep changes, sponsor company changes and supporting the day-to-day activities associated within Brokerage Operations.

Requirements

3+ years’ experience in financial services operations or broker-dealer setting.
Critical thinking and high level of attention to details.
Proficiency at Microsoft Word, Excel, Edge, Chrome, Outlook, OneNote, Teams.
Excellent communication & organizational skills.
Must become proficient with the following systems: CAIS, NetX360, Wealthscape, Front-End Imaging (FEI), Support Center (contact management and imaging workflow systems), eQuipt and other assigned back office functions.
Must acquire and retain knowledge of securities industry rules and best practices regarding brokerage account operations and have strong organizational and time management skills.
Be able to work independently and maintain elevated levels of quality.
Ability to participate and contribute to a team environment.
Ability to work overtime, including weekends, as needed to support heavy work volume when applicable.

Nice To Haves

FINRA Series 7 license a plus.
Completion of FINRA SIE exam.

Responsibilities

Provide a high level of service and support to independent financial advisors nationwide.
Review, process and follow up on a variety of complex brokerage and non-brokerage account requests.
Act as subject matter expert for several different responsibilities within brokerage Operations.
Act as back-up to co-workers and senior processors through cross-training on all department functions.
Interact with clearing firm on routine brokerage account processing requests; provide timely updates and statuses in contact management and workflow systems.
Answer internal and external phone calls; make outbound phone calls to our advisors.
Update contact management systems with professional grammar and spelling.
Exercise judgment to know when to escalate issues to manager or supervisor.
Ability to process work from multiple operations classifications with a high degree of accuracy.
Act as a back-up for Operations Team Lead for escalated service requests and phone calls.
Assist in training and mentoring new hires.
Work closely with Operations Supervisor and Team Lead to ensure escalations are resolved.
Participating with projects and system testing as needed.
Identify and recommend opportunities for improving existing procedures, training manuals and other improvements.
Create a strong working relationship with vendors, internal stakeholders and advisors.
Keep up to date on changes to industry and business processes.
All other duties as assigned.