Onboarding Operations Specialist

New Account Processing

You will process new accounts, incoming transfers, direct rollovers, PIPs, SWPs, and special account features for transitioning firms.

Client Support

• Answer questions regarding paperwork requirements and the status of new accounts and transfers
• Contact representative's offices when paperwork is not in good order (NIGO)
• Work with Sales Supervision to resolve paperwork issues
• Organize client files in LaserFiche so that we have complete client records
• Update account status for terminated reps

Training and Education

• Support advisors and their staff with questions regarding operational procedures by phone and email queues
• Take approximately 2 to 5 inbound calls per day and respond to approximately 4 to 7 inbound emails per day
• Support department efforts 24-hour processing standards (e.g. cross-train in other areas as asked by manager/supervisor)

Other Tasks

• Read and analyze financial reports
• May work overtime due to heavier volumes (especially in December, March and April)
• Maintain a positive environment for our clients

Qualifications

• 2+ years in brokerage/financial services, banking, operations and client support
• High school diploma/GED required
• College degree useful
• Familiarity with fax machines, copiers, and multi-line telephone systems
• Can gain industry-related knowledge
• Customer Service
• Active Listening practices
• Informative presentations and trainings
• Certifications. Series 7 License beneficial
• Retirement planning certifications

Benefits

• Competitive pay and benefits with a large employer (over 1600 employees nationwide)
• 401(k), health insurance, and a competitive benefits package
• Work in a supportive, collaborative environment committed to professional excellence
• Opportunities for training, development, and long-term growth within the firm
• Tuition reimbursement for qualified expenses