Operations Processing Specialist
Core
Process routine and complex transactions involving life events (e.g., beneficiary claims, divorce settlements, account openings/closures) for brokerage accounts.
Role type
Operations Processing Specialist
Builds
Brokerage account operations and transaction processing
Domain
Financial Services / Brokerage Operations
Required skills
Review and process life event requests, handle asset movement/transfer, review securities holdings, understand account types, escalate issues, act as backup resource, interact with clearing firms and financial professionals, make outbound calls
Preferred skills
FINRA Series 7 license, FINRA SIE exam, Salesforce experience, Bachelor's degree in business or Finance
Technologies
NetX360+, Wealthscape, Front-End Imaging (FEI), Salesforce, Microsoft Office Suite
Responsibilities
Review and process life event requests including foreign beneficiaries and power of attorney; Handle account opening to closure involving internal and external asset movement; Review underlying securities and holdings; Act as subject matter expert for brokerage operations; Exercise judgment to escalate issues; Interact with clearing firms and financial professionals; Create working relationships with vendors and stakeholders
Seniority
Mid-level, hands-on IC