TSMO Associate

Amerant Bank•Coral Gables, FL

11d

About The Position

The Amerant Investments TSMO Associate provides operational support and exceptional customer service to the bank’s affiliated broker-dealer and registered investment advisor, as well as technical support for escalated departmental issues. The role serves as a mentor and escalation point, supports staff development, and helps ensure accurate and timely processing of client and firm transactions. It also supports compliance with applicable financial and operational rules and contributes to team objectives and the maintenance of department procedures, processes, and policies.

Requirements

Bachelor’s degree in economics, finance, business administration, or engineering.
FINRA SIE required.
FINRA Series 99 required.
Four to six years of relevant experience processing back- and middle-office requests from Wealth Management and broker-dealers.
Extensive investments and securities knowledge.
Experience with Microsoft Office, including Word, Excel, and PowerPoint.
Ability to work as a team member, perform under pressure, and resolve problems and conflicts.
Strong analytical, business communication, and customer service skills.
Ability to communicate with management and others.
Ability to handle multiple tasks and aggressive deadlines.

Nice To Haves

Master’s degree in economics, finance, business administration, or engineering.
FINRA Series 7.
Fully bilingual.

Responsibilities

Mentor department staff, allocate work, review work quality, and support development planning by identifying training needs with managers.
Investigate and resolve escalated or complex client-account problems and provide technical support for trade errors, corrections, and cancellations while minimizing market risk.
Investigate pre-settlement discrepancies and ensure settlement of Euroclear and DTC fixed-income trades.
Support Financial and Operations Principal activities related to net capital, recordkeeping, and other financial and operational rules.
Monitor client email inboxes and process client requests, including investment-account maintenance.
Support Smart Investing Digital Portfolios, including billing and managed-account programming, ACH authorizations, account funding, coordination with Trading, and account maintenance.
Provide compliance and configuration support for vendor management, including vendors such as Pershing, Bloomberg, Black Diamond, FIS, and Marstone.
Provide daily operational and technical support to internal clients, including phone support, problem resolution, transaction processing, and timely client-account updates.
Perform operational tasks for the AMTI TSMO area, interpret and handle exceptions, and resolve escalated or complex account problems.
Serve as the primary contact for Investment Consultants and handle inquiries and requests accurately and promptly, considering business and client needs.
Provide trading assistance and review and execute structured-product orders.
Ensure discretionary fixed-income trades for an in-house managed program are processed and allocated correctly.
Open brokerage and advisory accounts, review account-opening documentation, complete onboarding, and coordinate asset transfers from other broker-dealers.
Serve as the primary contact for third-party financial intermediaries and provide them with support and customer service.
Image and index account-opening documents for electronic retention and support a paperless environment.
Process asset movement requests within established service-level times and quality controls.
Process securities transfers according to industry practices, including ACAT, free-of-payment DTC, government, mutual fund, international, DRS, and DWAC transfers.
Review and approve requests initiated by other team members and help resolve escalated issues, including reviewing the work of Operations Specialists.
Report TRACE-eligible trades to FINRA promptly and resolve breaks or discrepancies.
Monitor workflow applications to ensure requests are processed promptly.
Review and respond to custodian Items for Attention and Work Basket requests; support responses to House/Fed Calls, trading restrictions, and voluntary or mandatory corporate actions.
Monitor firm trading accounts daily to ensure there are no unallocated positions.
Act as middle-office liaison between the front office, Pershing, counterparties, and internal departments.
Provide customer service to Wealth Management business units and maintain strict confidentiality of client, firm, and employee information.
Process document bank storage.
Participate in monthly process review meetings by presenting assigned procedures.
Help maintain department procedure manuals, processes, and policies in accordance with bank standards and requirements.
Support achievement of team objectives.