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SUMMARY
Our Broker Dealer Operations Department is responsible for management in achieving operational excellence in several back-office functions, execution of regulatory requirements, and servicing accounts with a focus on broker dealer activities. Overall, Broker Dealer Operations ensure firm compliance with broker dealer books and records compliance, and the execution of brokerage account services.
The Broker Dealer Operations Representative is responsible for working closely with Broker Dealer Operations Manager in achieving operational excellence in several broker dealer functions, provides quality paperwork preparation services and timely processing in contribution to an exceptional Allworth client experience. This is an excellent opportunity for a professional who loves serving others, has a proven track record of extreme attention to detail, and wants to work in a fast-paced, challenging, team-oriented, and rewarding environment.
This is a full-time, non-exempt role based out of Lawerence, KS; this candidate will be required to be in the office all five days of the work week during their training period, with the potential of moving into a Hybrid work schedule.
The base salary range for this role is $50,000-$63,000 per year. In addition, we also provide generous benefits to all our full-time employees.
RESPONSIBILITIES
QUALIFICATIONS
Full Time
Investment Management
$99k-142k (estimate)
06/05/2024
06/13/2024
allworthfinancial.com
NAPA, CA
100 - 200
1993
Private
$10M - $50M
Investment Management
Allworth Financial is an investment financial advisory firm that offers investment management, retirement and estate planning services for businesses.