Financial Brokerage Operations Specialist

Company Overview

J.W. Cole is a Tampa-based Investment Adviser and Broker-Dealer, providing robust advisory services, operational, product, compliance, and practice support to approximately 500 Financial Professionals nationwide. At J.W. Cole, we recognize that we are as much in the relationship business, as we are in the financial services business. Therefore, we are passionate about the importance of strong relationships between our Financial Professionals, clients, and the Home Office staff.

Job description

J.W. Cole is looking for an outstanding Financial Brokerage Operations Specialist within our New Accounts Department to join our team!

The candidate will utilize their experience and training to work with advisors regarding accounts, account transfers, process money movements, and resolve complex issues, to support our 500 Financial Professionals at the Broker Dealer and Registered Investment Advisor (RIA) firm level. Experience working at or closely with a Clearing / Custodial Firm such as Fidelity, National Financial, IWS, Pershing, Schwab, TD Ameritrade, etc., extremely beneficial.

This person must exhibit a positive attitude, exceptional organization, resourcefulness, exceptional planning & follow-up, and highly effective client-service skills in a fast-paced environment.

Responsibilities

• The perfect candidate will have 2-5+ years customer service experience
• Understand the complex document requirements for different types of accounts
• Understand New Account requirements, Transfer of Assets (TOA’s) and money movement/cashiering requests
• Maintain account updates, desktop procedures and ongoing requests by communicating with our Financial Professionals and our clearing firm
• Ability to independently resolve issues with our Financial Professional, Back-office internal clients, and Clearing Firm
• Coach and train branch office personnel in account document requirements, system new account setup, and cashiering
• Promote team cohesiveness, cooperation, and effectiveness
• Willingness to be flexible as the needs of the organization change

Qualifications

• Proficiency with Excel and working with spreadsheets
• Comfortable working with electronic workflow and document processing (paperless)
• Comfortable answering and communicating over the phone and face-to-face with Financial Professionals, branch support staff, and our clearing firms
• Highly resourceful thinking and problem solving
• Ability to multi-task and work in a fast-paced environment with frequent interruptions

Education, Training and Travel

• Associates or Bachelor’s degree, or combination of education and experience preferred
• Series 7 license not required, but preferred
• Firm will sponsor the right candidate to obtain their securities license if determined to be beneficial for their career path

Pay: $48,000.00 - $57,000.00 per year

Benefits:

• 401(k)
• 401(k) matching
• Dental insurance
• Flexible spending account
• Health insurance
• Health savings account
• Life insurance
• Paid time off
• Vision insurance

Work Location: In person