IA Processing Specialist
Summary
The Investment Advisory Processing Specialist uses comprehensive Investment Advisory and Broker dealer knowledge to complete processing tasks specific to advisory accounts. You will facilitate the opening and maintaining of the accounts on specialized advisory programs that include the Wealth Management Platform (WMP). You will utilize a ticketing system to complete requests sent from Financial Professionals (FP) and correspond through Support Center, email or direct phone calls. You will collaborate with other departments and work directly with Envestnet to find solutions. You will also work closely with the IA Support team to find opportunities to support, provide feedback, and improve processes.
Responsibilities
- Process incoming request that related to Investment Advisory.
- Complete incoming request timely and accurately.
- Pay close attention to detail.
- Driven to meet and exceed deadlines.
- Able to work independently.
- To organize, prioritize and handle multiple tasks within established timeframe.
- Communicate professionally in writing or verbally with coworkers and FPs.
- Create strong working relationships with advisors, their office staff, and peers across the firm.
- Exercise judgment to avoid escalations.
- Communicate and partner with others within the Osaic to resolve concerns and issues.
- Analyze problems, take ownership of issues, and follow through to resolution.
- Meet stated satisfaction, quality, and production goals.
- Continuously learn and be flexible with industry changes.
Education Requirements
- A high school diploma or GED is required.
- A bachelor’s degree in business, Finance or a related field is preferred.
Basic Requirements
- Minimum 1 years’ experience of brokerage experience.
- Minimum 1 year providing customer service; including, proven results in bringing solutions to challenging issues experience.
- Proficient with NetX360, Wealth Management Platform, Streetscape, SalesForce, Windows Microsoft Excel, Word, Outlook and Internet.
- Ability to verbally communicate effectively with the Advisors regarding service issues.
- Ability to read and interpret company policies, operations manuals, Pershing manuals, and technical guides.
Preferred Requirements
- 1+ years of investment advisory support experience.
- Completion of the FINRA SIE exam.
- FINRA Series 7 experience.
- Experience with Envestnet / Wealth Management Platform.
Keys
- Financial Services.
- Investment Advisory.
- WMP (Envestnet).
- Billing.
- Accounting.
- Customer Service.
- Advisor Support.
- Client Support.
- Operations Support.
- Account Management.
- Broker-Dealer.
- Financial Advisor.
- Support Representative.
- Customer Service Representative.
- Back Office Operations.
Benefits
To view more details of what you can look forward to, visit our careers page: Osaic Benefits.
Qualifications
Applicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Osaic. Unqualified Applications Osaic does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting. Recruiting Agencies Osaic only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.