RIS Investment Operations Specialist

About the role

The RIS Investment Operations Specialist at Regions provides operational support within the Investment Services division, focusing on tasks like account management, reporting, and coordination with Financial Advisors.

Responsibilities

• Collects, logs, and ensures filing accuracy of Financial Advisor account transaction packages on a monthly basis
• Acts as a resource to Financial Advisors, coordinating support and coaching for ad hoc requests and questions in platforms such as Marketing Central, Bridge, Portfolio Access, DocuSign, etc.
• Pulls routine and ad hoc reports such as performance and production reports
• Facilitates marketing campaigns by compiling new and relevant content in Marketing Central at the direction of Financial Advisors
• Partners with AIE to host team training seminars, virtual meetings, and operational best practices classes as needed
• Participates in semi-annual audits of Financial Advisors’ Book of Business to ensure both internal and external compliance guidelines are met
• Participates in annual branch audits by compiling State, Federal, and Cetera Audit requirements as well as running audit demonstration classes to prepare Financial Advisors
• Updates and reviews operational task procedures approved by compliance

Requirements

• A High School Diploma or GED
• Three (3) years of banking or financial services experience

Preferences

• Bank brokerage experience

Skills and Competencies

• Ability to research and solve problems
• Excellent verbal and written communication skills
• Proficient at Microsoft Office (Excel, Word, etc)
• Strong analyzing, coordinating, and follow up skills
• Strong attention to detail

Position Type

Full time

Compensation Details

Pay ranges are job specific and are provided as a point-of-market reference for compensation decisions. Other factors which directly impact pay for individual associates include: experience, skills, knowledge, contribution, job location and, most importantly, performance in the job role. As these factors vary by individuals, pay will also vary among individual associates within the same job.

Other Factors Impacting Pay

• Minimum Job Range: $45,450.00 USD
• Median: $57,285.00 USD
• Incentive Pay Plans: Not applicable

Benefits Information

• Paid Vacation/Sick Time
• 401K with Company Match
• Medical, Dental and Vision Benefits
• Disability Benefits
• Health Savings Account
• Flexible Spending Account
• Life Insurance
• Parental Leave
• Employee Assistance Program
• Associate Volunteer Program

Location Details

Gulf Shores, 1400 Gulf Shores Parkway, Gulf Shores, Alabama

Equal Opportunity Employer

Regions is an equal opportunity employer including disabled/veterans.