What are the responsibilities and job description for the Operations Specialist I position at Synovus?
Job Description
Job Summary
Provides operational support in the processing of home office business and serves as a liaison between Financial Advisors and Investment / Administrative Associates, the clearing firm, and other internal departments to ensure that the business and processes for brokerage operations are performed in accordance with Synovus guidelines.
Job Duties and Responsibilities
- Provides general operations support, ensuring continuity of business functions, and meeting service level agreements for various functions. Processes various transactions using proprietary software, including, document imaging, account maintenance, cash and securities settlement, asset movement, account maintenance, and monitoring internal systems for exceptions items. Switches gears throughout the day to assist with meeting critical cut-off times or high volume spikes.
- Completes required internal and external audit tasks and responds to findings. Builds and sustains strong relationships with business partners. Actively participates in self-development and meets required training standards.
- Performs all assigned functions in accordance with regulations established by FINRA, SEC, and Compliance Department. Compiles and analyzes reports provided to senior management on a daily / monthly basis, including prospectus delivery.
- Addresses internal customer questions and issues using technical knowledge and operating guidelines. Refers more complex issues to senior staff. Utilizes a cross-functional knowledge of operations to serve as a back-up for additional duties as needed.
- Each team member is expected to be aware of risk within their functional area. This includes observing all policies, procedures, laws, regulations and risk limits specific to their role. Additionally, they should raise and report known or suspected violations to the appropriate Company authority in a timely fashion.
- Performs other related duties as required.
The information on this description has been designed to indicate the general nature and level of work performed by employees within this classification. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities, and qualifications required of employees assigned to this job.
Synovus is an Equal Opportunity Employer supporting diversity in the workplace
Minimum Requirements
Minimum Education :
High school diploma or equivalent.
Minimum Experience :
One year of job-related experience in a financial services environment.
Required Knowledge, Skills, Abilities :
