Transitions Processing Specialist
Core
Process incoming and outgoing paperwork for client account opening, maintenance, and rep changes within Brokerage Operations.
Role type
Full-time operational specialist (Brokerage Operations)
Builds
Client accounts and supporting documentation for independent financial advisors
Domain
Financial Services / Brokerage Operations
Required skills
Data review and paperwork generation, Account request processing, Contact management system updates, Phone communication (internal/external), Detail-oriented repetitive task execution, System proficiency (NetX360, Wealthscape, Salesforce, eQuipt)
Preferred skills
FINRA Series 7 license, FINRA SIE exam, CRM/Salesforce experience, Envestnet/Wealth Management Platform experience, Smartsheets experience
Technologies
NetX360, Wealthscape, Front-End Imaging (FEI), Salesforce, eQuipt, Microsoft Office Suite, Smartsheets
Responsibilities
Review data from financial professionals and generate client paperwork, Process brokerage and non-brokerage account requests, Act as subject matter expert for brokerage operations, Update contact management systems, Interact with clearing firms for account processing, Answer internal and external phone calls
Seniority
Mid-level, hands-on IC