Operations Specialist

Description

*This position is eligible for a hybrid schedule out of our Westlake OH, Denver CO, or Dallas TX locations.

JOB OVERVIEW

The ETC Brokerage Operations Associate role provides institutional broker dealer operations support. This entails client onboarding, asset movement, trade settlement, and establishment and servicing of investment accounts. The role includes a multitude of processing functions from the opening of an account to the transfer of assets, depositing of funds, and maintenance of standard and non-standard asset types.

RESPONSIBILITIES & DUTIES                                                                       

• Instruct the set-up of new alternative investment products in line with the firm's asset acceptance policy.  Process purchase and sale transactions of alternative investments in client accounts.
• Process dividend reinvestments, corporate actions, and cash flow transactions for alternative investments on behalf of our clients.
• Reconcile alternative investment positions and cash flows against transfer agents and asset sponsors in accordance with firm policies and procedures.
• Act as primary escalation point of contact and subject matter expert for client issues.  Collaborate with cross-functional departments and external vendors to resolve client inquiries.
• Respond to internal inquiries and work in close contact with ancillary and supporting departments & vendors via email and telephone
• Monitor workflows as needed and reprioritize tasks to ensure the team meets service level expectations.
• Evaluate policies and procedures for risk and efficiency.  Identify & provide recommendations for process improvements as needed.
• Works with asset sponsors, transfer agents, and vendors to build deep, mutually beneficial relationships.
• Cross train existing associates and new employees on policies and procedures.

QUALIFICATIONS

• Two years of experience in customer service or Operations environment, preferably in a financial services company
• Bachelor’s Degree in Business, Finance, or related field preferred
• Demonstrates the ability to handle multiple responsibilities and functions
• Has analytical skills, active listening, professionalism and is results-driven
• Knowledge and experience of retirement and taxable account types preferred
• If you do not already have a Securities license relevant to your role at Innovayte, you will be required to take and pass the Securities Industry Essentials exam provided by FINRA.  In addition, based on your role responsibilities, you may also be required to pass additional Securities Industry exams to allow you to be compliant with FINRA and the SEC.

PROFESSIONAL CERTIFICATIONS    

• SIE Certification
• Series 99 or other FINRA licensing preferred

TECHNICAL SKILLS

• Data Entry
• Intermediate level proficiency in Microsoft Office
• Ability to type at least 45 WPM preferred
• Basic 10 key skills a plus

CULTURAL COMPETENCIES

In addition to our core company competencies of Cultivates Innovation, Nimble Learning, Action Oriented, Collaborates, and Being Resilient, a successful candidate in this role should exhibit the following behavioral competencies:

• Customer Focus
• Urgency and Ownership
• Interpersonal Savvy
• Attention to Detail

PHYSICAL DEMANDS/WORK ENVIRONMENT

This job operates in a professional office environment and routinely uses standard office equipment. While performing the duties of this job, the associate is regularly required to speak and hear. The associate is frequently required to sit for extended periods of time, as well as stand, walk, use hands and fingers, and reach with hands and arms. This job requires the ability to lift files, open filing cabinets, and bend or stand on a stool as necessary.

DISCLAIMER/ASSOCIATE ACKNOWLEDGEMENT

The above statements describe the general nature and level of work only. They are not an exhaustive list of all required responsibilities, duties, and skills. Other duties may be added, or this description amended at any time.

Qualifications