Brokerage Operations Specialist, Asset Advisors, South Bend, IN

POSITION SUMMARY

Assists Brokerage Operations 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 following : 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.
• 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

EDUCATION

Bachelor's Degree with concentration in Business / Finance / Economics / Sales or Marketing preferred.

LICENSES AND REGISTRATIONS

SIE, Series 7 and 66 registrations and IN Life and Health license required or must pass within 180 days of employment.

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, phone and standard office equipment.

Equal Opportunity Employer / Protected Veterans / Individuals with Disabilities

The contractor will not discharge or in any other manner discriminate against employees or applicants because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant. However, employees who have access to the compensation information of other employees or applicants as a part of their essential job functions cannot disclose the pay of other employees or applicants to individuals who do not otherwise have access to compensation information, unless the disclosure is (a) in response to a formal complaint or charge, (b) in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or (c) consistent with the contractor's legal duty to furnish information. 41 CFR 60-1.35(c)