Advanced Brokerage Operations Professional

Overview

This position is responsible for answering incoming phone calls, processing new account documents, handling maintenance requests, and supporting transfers and distributions. The role also analyzes and processes non-routine and/or complex new business and service transactions, including items that are “not in good order.” Outbound calls may be required. Work must be completed quickly, accurately, cost-effectively, and in compliance with internal service standards and applicable state and federal regulatory requirements.

Responsibilities

• Provide brokerage operations services as part of a functional team, including:
  • Answering member and field phone calls
  • Assisting other team members
  • Managing workflow
  • Flexing to provide functional coverage and collaborating with other service teams
• Maintain a thorough understanding of brokerage operations products, services, and affiliated systems, including NFS and internal systems, as well as applicable operational policies and procedures.
• Build and maintain high-quality, professional working relationships with field professionals, the clearing firm, and internal business units.
• Analyze, approve, and deliver high-quality, timely service to support strong member and field satisfaction and meet or exceed established service level timeframes.
• Provide detailed, accurate, and timely communications to ensure the field and clients understand the operational status of accounts.
• Meet or exceed department quality standards.
• Support the development of policies/procedures and quality assessments.

Requirements

• High School diploma
• 1–2 years of related Financial Services industry experience
• Strong written and verbal communication skills
• Proficiency with Microsoft Office suite tools, including Microsoft Outlook
• FINRA Series 7 and 63/65, or 66 required or obtained within 90 days of hire
• Additional licensure by manager approval as specific job accountabilities warrant

Preferred Qualifications

• Bachelor’s degree in a relevant field (Business, Finance, Economics)
• 3–5 years of experience in the Brokerage industry, with particular focus in Account Transfers

Compensation & Benefits

• Full-time hourly pay range: $22.92 - $31.01 per hour (varies by geographic region)
• Base pay offered will be determined by factors including location, relevant experience, skills and knowledge, business needs, market demand, and other factors the employer deems important.
• Benefits may include:
  • Various bonuses (including annual or long-term incentives)
  • Medical, dental, and vision insurance
  • Health savings account
  • Flexible spending account
  • 401k
  • Pension
  • Life and accidental death and dismemberment insurance
  • Disability insurance
  • Supplemental protection insurance
  • 20 days of Paid Time Off each year
  • Sick and Safe Time
  • 10 paid company holidays
  • Volunteer Time Off
  • Paid parental leave
  • EAP
  • Well-being benefits, and other employee benefits
• Eligibility for benefits is subject to applicable plan/policy documents; plans/policies are subject to change at any time.

Location

• Remote

Equal Employment Opportunity

Equal Employment Opportunity is provided without regard to race, religion, color, sex, gender identity, sexual orientation, pregnancy, national origin, age, disability, marital status, citizenship status, military or veteran status, genetic information, or any other status protected by applicable local, state, or federal law.

Reasonable Accommodation

Reasonable accommodation is available for individuals with disabilities. If you need a reasonable accommodation, you should request Human Resources assistance.