Wealth Operations Specialist I

TD•Mount Laurel, NJ

2d•$23 - $31•Onsite

About The Position

The US Wealth Operations Specialist I is an introductory role to Wealth that performs specialized operational tasks in support of one or more US Wealth Management lines of business. This role performs basic administrative support tasks while maintaining excellent quality in reporting and responding to clients both internal and external. The specialist is competent in at least one core Wealth Systems (Tracker, Netx360, FIS Trust Desk) as well as other role-specific systems (Fidelity, Lotus Notes, Transtar among others) as needed. They perform basic processing, ensuring transactions are confirmed and entered in the system according to established policies and procedures. The role involves resolving problems with transactions by communicating directly with client-facing advisors, clients, and third-party advisors, with oversight. The specialist prepares detailed information and reports on transactions and accounts as needed, provides direction and answers to basic questions, and adheres to established quality standards for all work performed. Supports Trackers/Phones/email to advise and assist client-facing CSAs. Accountabilities are of moderate complexity and scope and performed under general management supervision. This role also reviews basic reconciliation breaks.

Requirements

Undergraduate Degree or High School Diploma with 3+ years related experience required
A minimum of SIE & Series 99 registration is required; If hired without licenses, candidate will need to acquire within a defined period outlined at time of hire
Knowledge of accounting entries and procedures
Knowledge of trust operations processes
Strong arithmetic skills
Strong organizational skills
Time management skills
Attention to detail
Interpersonal skills
Communication skills, both verbal and written
PC skills
Must be eligible for employment under standards established by FINRA.
Subject to the investigation and verification requirements of FINRA Rule 3110(e), including: the Firm's obligation to investigate the good character, business reputation, qualifications and experience of an applicant for registration before applying to register the applicant with FINRA and filing the applicant's Form U4 with the CRD, and before representing on the applicant's Form U4 that it has conducted this investigation and verified the accuracy and completeness of the information contained in the applicant's Form U4; and the Firm's obligation to verify the accuracy and completeness of the information contained on the applicant’s Form U4, no later than 30 calendar days after the Form U4 is filed with FINRA
Satisfactory results on a criminal background check, credit report check, civil litigation search, and regulatory agency or self-regulatory organization enforcement action search, and statements/certification from job applicant regarding administrative, civil, and/or criminal findings by any government agency/authority or self-regulatory organization, are required by federal law for this position

Responsibilities

Performs basic administrative support tasks while maintaining excellent quality in reporting and responding to clients both internal and external
Is competent in at lease one core Wealth Systems (Tracker, Netx360, FIS Trust Desk) as well as other role specific systems (Fidelity, Lotus Notes, Transtar among others) as needed
Perform basic processing
Ensures transactions are confirmed and entered in system, according to established policies and procedures for each type of transaction
Resolves problems with transactions by communicating directly with client facing advisors, clients and 3rd parties advisors
Prepares detailed information and reports on transactions and accounts as needed
Provides direction and answers to basic questions as needed
Adheres to established quality standards for all work performed
Supports Trackers / Phones/ email to advise and assist client facing CSA's
Review basic reconciliation breaks