What are the responsibilities and job description for the Brokerage Operations Specialist position at Western & Southern Financial Group?
Join Western & Southern – Somewhere You Want to Be
At Western & Southern, is somewhere to grow, lead, win and do good for others. Our supportive culture, continuous learning opportunities and connection to our local communities make our company the ideal place for a career. For more than 135 years, our long-term success is fueled by a deep commitment to customer service and our community.
Recognized again as one of the top 100 companies by the American Opportunity Index (AOI) for our commitment to career growth and employee development. We are dedicated to creating opportunities for our associates to grow and succeed. We take pride in our award-winning talent development team and our recognition as a Top 10 Military Friendly Employer and Top Spouse Employer.
Hear what our associates say about their experience at W&S!
Our Culture: Excellence and Collaboration
Western & Southern is built on a culture of integrity, top-notch performance, teamwork and collaboration. We’re committed to hiring and developing professionals who strive for excellence, demonstrate strong ethics and make fact-based decisions. Our associates are empowered to chase their career dreams while being supported every step of the way.
A Day in the Life of a Mutual Fund Trader (Brokerage Operations Specialist)
- A Brokerage Operations Specialist places mutual fund trades for the firm's registered representatives via the brokerage platform. Rebalances and places model trades for client accounts held by the firm's Registered Investment Advisor. Monitors all daily trade activity firmwide, ensuring trades are entered and processed in accordance with published firm rules and industry regulations. Processes and documents trade error and trade correction requests, Series 7 and 63 required.
Key Tools & Technologies You’ll Work With:
- Serves as a point of contact and subject matter expert for the brokerage platform performing account paperwork review and opening, maintenance, cashiering requests, transfers and additional follow up as needed.
- Adheres to all SEC, FINRA, WSBS and sponsor rules, regulations, policies and procedures when placing trades.
- Documents activity, including trade tickets and order blotters.
- Monitors brokerage exception reports. Researches exceptions and takes appropriate action when necessary, which may include contacting registered reps.
- Responds to field inquiries on the brokerage platform and other products or services available through WSBS.
https://careers-westernsouthern.icims.com/jobs/22837/mutual-fund-trader/job?mode=view
Premier Benefits to Support YOU
We offer a comprehensive benefits package, including:
- Medical, dental, vision, and life insurance.
- 401(k) savings plan with pension options.
- Paid time off increasing with tenure.
- Tuition reimbursement and individualized career development plans.
- Parental leave and maternity leave with a 4-week transition back to work.
- Access to on-site amenities like a fitness center, cafeteria and more.
- Extensive employee discount program.
Western & Southern is not just a place to work—it’s somewhere to grow, lead, win and make a difference in your career and community. Learn more at www.westernsouthern.com/careers/home-office-careers.
