Vacancy expired!
- Review and interpret client executed documentation related to brokerage account maintenance
- Perform suitability updates/maintenance based on client and/or business partner instructions
- Research client documentation to ensure suitability is documented accurately (FINRA Rule 2111 / SEC 17A3)
- Perform authentication to ensure instructions are provided by authorized account holder/contact
- Identify and prefill documentation for distribution to client for review/execution
- Take ownership to diligently maintain outlined policies and procedures
- Serve as the first line of defense for escalations where needed
- Assist with team projects and initiatives
- Run basic reports (trend analysis, production reports)
- Review metrics and take actions accordingly
- Promote a controls environment to mitigate risk
- Perform verification for work processed by team members to identify/resolve data issues
- Investigate opportunities to reduce costs, provide automation, and analyze fluctuations in key metrics
- Strong analytical and problem-solving skills
- Growth mindset - able to take feedback and use it for growth and development; continuously learning
- Detail oriented and accurate
- Task management and prioritization
- Strong verbal and written communication
- Strong teamwork and leadership skills
- Ability to think creatively and recommend/implement process improvements
- Foundational knowledge of the financial industry and products applicable to the role
- Intermediate knowledge of
- Business processes and procedures
- Risk Management & Controls
- MS Office applications - specifically Outlook, Excel, and Word
- Business applications and workflows