Sr Associate-Broker/Dealer

Ameriprise Financial•Charlotte, NC

45d

About The Position

Monitor the daily work in the Broker/Dealer team to ensure that industry standard service levels are met. Liaison with SS&C (DST) and the Providence Call Center. Process and quality controls Large Trade Notificaitions. Interact with other Managers and Departments to assist in the implementation of new processes and continuing improvements to meet company goals. Assist with the Financial Intermediary Oversight program. Work closely with NQR to ensure reviews are completed in a timely manner. About Our Company We're a diversified financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of 2024. With our team of more than 20,000 people in 20 countries, we advise, manage and protect assets and income of more than 3.5 million individual, small business and institutional clients. We are a longstanding leader in financial planning and advice, a global asset manager and an insurer. Our unwavering focus on our clients and strong financial foundation connects each of our unique businesses - Ameriprise Financial, Columbia Threadneedle Investments and RiverSource Insurance and Annuities. Here, we foster meaningful careers, invest in the future, and make a difference for clients, institutions and communities around the world.

Requirements

Bachelors degree or equivalent
1-3 years of relevant work experience
3 years of mutual fund processing or phone experience.

Responsibilities

Monitor and delegate the daily work for the team to ensure that standards of service are met. Utilize administrative and management functions in AWD and other reporting to manipulate activities, queues, and tasks for the timely completion of work. Quality controls outgoing correspondence and financial transactions to ensure accuracy.
Act as the primary resource for team members when they are faced with questions and issues. Assist with the monitoring and reporting of system related problems.
Act as a liaison with DST and the Providence Call Center. Offer support on operational topics to Strategic Relations, Sales, vendors, and other Departments within Columbia Management.
Monitor complex or sensitive requests and issues to ensure accurate and timely completion/resolution.
Assist with problems, decisions, and additional responsibilities in the Team Manager's absence.
Inform Upper Management of volumes, trends, and training needs noted in the completion of the team's daily work