Specialist, Brokerage Operations, Asset Advisors, Plymouth, IN

1st Source Bank • Plymouth, IN

5h • Onsite

About The Position

Assists Brokerage Operations Assistant Manager with relationship managers and officers in completion of in-depth profiling of client’s (and prospective clients) individual, family, and business needs and goals, as well as other administrative and customer service support requests within the division/region.

Requirements

• One (1) or more years’ experience or equivalent experience in a related field preferred.
• Knowledge of financial calculators.
• Proficient in spreadsheet applications. Microsoft Word and Excel essential.
• Good organization and time management skills to handle multiple tasks in a fast-paced environment.
• Ability to prioritize.
• Good written and verbal communication skills.
• Ability to work with different departments and business entities.
• Regular and predictable attendance is an essential requirement of the position.

Responsibilities

• Maintaining the highest standards of customer service by developing and managing all customer service functions and programs
• Account and transaction problem resolution
• Brokerage trading services, (i.e. policies and procedures, customer files, compliance training)
• 1st Source Asset Advisor operational functions, including but not limited to office management, problem resolution, sales and referral tracking and reporting, and the on-going analysis of operational procedures
• Coordination of compliance procedures with broker-dealers.
• Assisting the Investment/Retirement Counselors with the maintenance of proper customer and other required files and customer service support by handling daily calls to resolve problems or inquiries in an efficient and timely manner as requested as needed
• Managing the compliance audit process for the bank and broker-dealer
• Providing administrative support for manager or department (i.e., written correspondence, mail distribution, office supply maintenance, etc.)
• Attends client and team meetings
• Maintains, acquires, and completes annual continual education on all licenses and designations, as appropriate
• Completes all compliance training related to the position
• Must understand all applicable laws and regulations that apply to the position and comply with the requirements
• Performs all other duties as assigned.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level