Registered Brokerage Service Assistant

Overview

This position provides operational and trading support to financial planning associates and clients. Facilitates high service standards by ensuring efficient daily operations. Answers client calls for operational inquiries or account requests. Responsible for compliance documentation and filing. Processes paperwork in an accurate, timely fashion. Maintains knowledge of the Bank's policies, procedures, and systems in order to resolve operational issues.

Responsibilities

• Operations Support - Addresses operational client service questions and inquiries. Researches, resolves, and communicates updates to the appropriate parties. Assists with time-sensitive operational projects and deadlines. Ensures all unsolicited client trading requests are executed correctly and in a timely manner.
• Account Servicing - Creates, maintains, and updates client accounts. Utilizes department systems to input account information such as money movement requests, cashier records, and other items. Identifies outstanding process needs or account actions and ensures all necessary documentation is present.
• Documentation - Responsible for filing, completing, and maintaining department forms, including client paperwork. Assists in processing compliance files and sourcing information needed for daily activities.
• Collaboration - Works closely with associates, management, clients, and business team in fulfilling daily requests and providing necessary information. Ensures outstanding items are appropriately followed-up and deadlines met in a team environment.