Operations Associate

The Operations Associate is primarily responsible for the review of new accounts, account maintenances and asset movement processes.

JOB RESPONSIBILITIES/MAIN FUNCTIONS

• Review account opening documentation to ensure it complies with regulatory guidelines and internal policies and procedures.
• Assessment of plausibility and reasonability of SOW and financial information.
• Maintain, respond, and update custodian requirements for account opening process.
• Inform clients on any documentation deficiencies.
• Monitor any pending or missing information from customers and prepare the corresponding status reports.
• Process client’s requests including changes in personal information, financial data, asset movement requests and others.
• Process client’s requests for additional services provided by the custodian such as debit cards, checks and other financial services.
• Support with general inquiries from clients.
• Ongoing training and information sharing with clients.
• Serve as liaison between the custodian and clients/advisors.

JOB REQUIREMENTS (EDUCATION, EXPERIENCE, SKILLS, AND CAPABILITIES)

• Bachelor’s degree in business administration or related field preferred.
• Requires a minimum of two (2) years of industry related experience.
• FINRA Series 99 or 7 licenses desired.
• Previous experience using NetX360 is a plus.
• Excellent attention to detail, self-started and driven.
• Strong organizational and time management skills and ability to prioritize.
• Customer service attitude, team player and proactive.
• Ability to work under pressure and time bound projects.
• Excellent communication skills both written and verbal.
• Knowledge in the operation of laptops/desktops and Microsoft platforms/software (Word, Excel, PowerPoint, and Outlook) .
• Bilingual (English/Spanish).