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Specialist, Brokerage Operations, Asset Advisors, Plymouth, IN
POSITION SUMMARY
Assists Brokerage Operations Assistant Manager with relationship managers and officers in completion of in-depth profiling of client’s (and prospective clients) individual, family, and business needs and goals, as well as other administrative and customer service support requests within the division/region.
ESSENTIAL REQUIREMENTS
Assists Brokerage Operations Assistant Manager with relationship managers and officers in completion of in-depth profiling of client’s (and prospective clients) individual, family, and business needs and goals, as well as other administrative and customer service support requests within the division/region.
ESSENTIAL REQUIREMENTS
- Assists Brokerage Operations Manager in the following:
- maintaining the highest standards of customer service by developing and managing all customer service functions and programs
- account and transaction problem resolution
- brokerage trading services, (i.e. policies and procedures, customer files, compliance training)
- 1st Source Asset Advisor operational functions, including but not limited to office management, problem resolution, sales and referral tracking and reporting, and the on-going analysis of operational procedures
- coordination of compliance procedures with broker-dealers.
- Assisting the Investment/Retirement Counselors with the maintenance of proper customer and other required files and customer service support by handling daily calls to resolve problems or inquiries in an efficient and timely manner as requested as needed
- Managing the compliance audit process for the bank and broker-dealer
- Providing administrative support for manager or department (i.e., written correspondence, mail distribution, office supply maintenance, etc.)
- Attends client and team meetings
- Maintains, acquires, and completes annual continual education on all licenses and designations, as appropriate
- Regular and predictable attendance is an essential requirement of the position
- Completes all compliance training related to the position
- Must understand all applicable laws and regulations that apply to the position and comply with the requirements
NON-ESSENTIAL FUNCTIONS
Performs all other duties as assigned.
EXPERIENCE/SKILLS
Performs all other duties as assigned.
EXPERIENCE/SKILLS
- One (1) or more or more years’ experience or equivalent experience in a related field preferred.
- Knowledge of financial calculators.
- Proficient in spreadsheet applications. Microsoft Word and Excel essential.
- Good organization and time management skills to handle multiple tasks in a fast-paced environment.
- Ability to prioritize.
- Good written and verbal communication skills.
- Ability to work with different departments and business entities.
EDUCATION
Bachelor’s Degree with concentration in Business/Finance/Economics/Sales or Marketing preferred.
TRAVEL REQUIREMENTS
Ability to travel to all branch locations as well as ability to travel overnight, as needed for meetings, projects, seminars, etc.
PHYSICAL DEMANDS
The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals to perform the essential functions.
While performing the duties of this job, the employee is required to sit, stand and walk; use hands and fingers to operate keyboard and other office equipment; reach with hands and arms; and talk or hear. The employee is occasionally required to stoop or kneel. The employee may occasionally lift and/or move up to 10 pounds.
EQUIPMENT
MS Office PC, fax, phone and standard office equipment.
Bachelor’s Degree with concentration in Business/Finance/Economics/Sales or Marketing preferred.
TRAVEL REQUIREMENTS
Ability to travel to all branch locations as well as ability to travel overnight, as needed for meetings, projects, seminars, etc.
PHYSICAL DEMANDS
The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals to perform the essential functions.
While performing the duties of this job, the employee is required to sit, stand and walk; use hands and fingers to operate keyboard and other office equipment; reach with hands and arms; and talk or hear. The employee is occasionally required to stoop or kneel. The employee may occasionally lift and/or move up to 10 pounds.
EQUIPMENT
MS Office PC, fax, phone and standard office equipment.
Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities
This employer is required to notify all applicants of their rights pursuant to federal employment laws. For further information, please review the Know Your Rights (https://www.eeoc.gov/poster) notice from the Department of Labor.
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