Senior Operations Specialist

• Acts as a subject matter expert on a wide range of topics including onboarding new clients, processing investments, and resolving account issues
• Reviews required elements and performs a variety of transactions to establish and maintain accounts and investments, including the transfer of assets, cash movement, corporate actions, and processing of non-standard asset investments
• Onboards new clients including the collection of necessary documentation and screening of new accounts
• Communicates with vendors and third parties to ensure processes are functioning properly and are completed
• Processes asset movement requests and daily settlement wires
• Facilitates cash movement in and out of clients’ accounts & the broker-dealer
• Researches and resolves issues and discrepancies in accounts as they arise
• Responds to inquiries from internal and external sources via e-mail and telephone
• Adheres to department service level agreement for all processes
• Collaborates with Brokerage Sales, Product Development and Service to satisfy client needs and requests
• Works with audit and risk colleagues to provide information and test internal controls
• Assists in the training of new colleagues and performs quality checks on completed work
• Identifies and provides recommendations for process improvements, as needed

• Generates reports on daily work volumes
• Completes projects as requested
• Performs other duties as assigned

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:

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.