Customer Operations Associate
Vi
Brokerage Operations Associate
Wealth Enhancement Group
full-time
Posted on:
Location Type: Remote
Location: Remote • Minnesota • 🇺🇸 United States
Visit company websiteSalary
💰 $50,000 - $60,000 per year
Job Level
JuniorMid-Level
About the role
- Support core business functions and continuous development of policies and operational processes for Wealth Enhancement Brokerage Services
- Work with the Manager, Custodial Operations to provide operational support to advisors with our custodian and efficiently handle day-to-day operational tasks
- Review daily reports; CAT/CAIS, Patriot Act/CIP and evaluate and resolve findings
- Process check deposits received from advisors and clients from remote deposit system
- Collaborate with clearing firm on margin issues, debits and returns
- Adhere to regulatory requirements and assist in preparation of annual risk assessments performed by internal compliance team
- Monitor and complete requests in the Salesforce Operations queue from platform and advisor teams (user access requests, account coding permissions, integrations, process improvements)
- Handle Operations Queue and Operations email inbox requests and serve as point of contact for advisor and custodian teams to communicate and resolve issues
- Facilitate user provisioning with custodian partners and document custodian communications in applicable systems
- Collaborate on running reports and gathering data for FINRA audits and maintain operational books and records as required
Requirements
- College degree or work experience equivalent
- 2+ years of financial industry experience
- FINRA Series 7, SIE
- FINRA Series 24 preferred
- Excellent communication skills: heavy phone usage required
- Strong process management skills and ability to see tasks through to completion
- Attention to Detail
- Problem solving skills
- Proficient with Microsoft Office
- Ability to stand or sit for long periods, file documents in high or low cabinets, use telephone and computer systems (OSHA requirements)
Benefits
- Discretionary bonus plan / an annual corporate bonus / participation in the Company equity program
- Training and professional development
- Medical, dental and vision coverage (Available to employees and their families)
- Health Savings Account (HSA) with employer contribution and Flexible Spending Accounts (FSA) for medical, dependent, and transit expenses
- Life and AD&D insurance – employer paid and voluntary options
- Short-term and long-term disability, workers compensation – employer paid
- 401k with match and profit sharing
- Wellness programs and resources
- Voluntary benefits, including pet insurance
- 18 days of paid time off (PTO), accrued annually (25 PTO days after 4 years of service)
- 12 paid holidays each year (10 pre-determined and 2 floating days)
- Paid parental leave and paid caregiver leave (Caregiver leave available after 6 months of tenure)
- Reimbursement for tuition, licensing, and other credentials (Available after meeting service requirements)
- Remote work opportunity
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
financial industry experienceprocess managementproblem solvingattention to detailuser provisioningdata gatheringreportingoperational processesrisk assessmentscheck processing
Soft skills
communication skillscollaborationorganizational skillstask completioninterpersonal skills
Certifications
FINRA Series 7FINRA Series 24SIE
