Primarily responsible for daily operations, client service and complex support. The role is responsible for identifying and anticipating client, financial advisor and complex needs. Assist in problem solving, research and fielding questions for service related inquires. The Service Associate keeps the Complex Service Manager informed of significant matters and must determine when escalation is necessary. DUTIES and RESPONSIBILITIES:
Qualifications EDUCATION, EXPERIENCE, KNOWLEDGE, and SKILLS:
- Serve as a resource to financial advisors and support staff and help identify items that need escalation
- Act as a liaison between the complex branches and service departments
- Assist with delegated report portal items by management. Learn and understand specific reports and action that must be taken.
- Assist with Firm remediation projects for both service and risk
- Monitor and respond to service portal requests
- Review CDM escalations to service or risk management for approval
- Assist in printing outgoing checks and preparing for clients
- Process physical securities and deposits ensuring compliance with firm guidelines.
- Prepare and process trade corrections, maintain necessary records for compliance.
- Maintain required operations files (via appropriate recordkeeping method)
- Review documents for accuracy and completeness prior to scanning
- Sort and distribute mail.
- Reconcile days work at close of business
- Other projects as delegated by the Service and Risk team
- Ensure compliance with Firm policies and procedures from and operational perspective
- Financial Industry experience preferred
- High School Diploma/Equivalent required
- College Degree Preferred
- Strong attention to detail
- Ability to organize and prioritize workflow
- Ability to prioritize and resolve complex problems and escalate as necessary
- Ability to interact with Support Staff and Financial Advisors
Complex Service Manager
EOE committed to diversifying its workforce.