Deliver an exceptional customer experience to our financial advisors, licensed bankers and sales assistants in the field. Work closely with others on the team with bi-monthly rotation of duties. Must be able to positively interact with other members of the team. Must be willing to ask questions when unique circumstances arise. Interact daily with our clearing firm Pershing LLC to solve complex problems. Interest in researching problems and finding solutions is vital to success in the role.
Responsible for understanding multiple processes including but not limited to asset movement (ACH, Checks, Journals, Banklink, Wire, IRA Distributions and DTCC,) adding and removing account blocks, assigning fee waivers, processing physical certificates & checks received via mail and daily tracking & reporting. Booking funds, reconciling accounts, account transfers and other operational procedures with regard to the asset movement team. These processes apply to both managed and nonmanaged domestic retail investment business. The candidate must understand and adhere to daily processing cutoffs. Must be very diligent and detail oriented to ensure all items are processed promptly and correctly.
Crosstrain on all functions in the unit and assist with training others as needed. Proactively seek opportunities for improvement in existing processes to maximize productivity and reduce risk. Updated established procedures for assigned duties. Other duties as assigned.