The Operations Associate is primarily responsible for the review of new accounts, account maintenances and asset movement processes.
JOB RESPONSIBILITIES/MAIN FUNCTIONS
- Review account opening documentation to ensure it complies with regulatory guidelines and internal policies and procedures.
- Assessment of plausibility and reasonability of SOW and financial information.
- Maintain, respond, and update custodian requirements for account opening process.
- Inform clients on any documentation deficiencies.
- Monitor any pending or missing information from customers and prepare the corresponding status reports.
- Process client’s requests including changes in personal information, financial data, asset movement requests and others.
- Process client’s requests for additional services provided by the custodian such as debit cards, checks and other financial services.
- Support with general inquiries from clients.
- Ongoing training and information sharing with clients.
- Serve as liaison between the custodian and clients/advisors.
JOB REQUIREMENTS (EDUCATION, EXPERIENCE, SKILLS, AND CAPABILITIES)
- Bachelor’s degree in business administration or related field preferred.
- Requires a minimum of two (2) years of industry related experience.
- FINRA Series 99 or 7 licenses desired.
- Previous experience using NetX360 is a plus.
- Excellent attention to detail, self-started and driven.
- Strong organizational and time management skills and ability to prioritize.
- Customer service attitude, team player and proactive.
- Ability to work under pressure and time bound projects.
- Excellent communication skills both written and verbal.
- Knowledge in the operation of laptops/desktops and Microsoft platforms/software (Word, Excel, PowerPoint, and Outlook) .
- Bilingual (English/Spanish).
