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Securities New Accounts Associate
•30 days ago
| Hours | Full-time |
|---|---|
| Location | 441 Lexington Avenue, 18th Floor New York, New York |
About this job
This associate will be responsible for:
- Updating client profile information through Book & Records periodic notifications and other written instructions
- Managing return mail queues
- Handling of various other account correspondence maintenance items
- Entering in new account applications for brokerage(AdvisorOne), MainStay, non-proprietary, general agency new business. The associate must ensure the application is in compliance with all Securities policies and securities industry regulations
- Managing workflow queues within our service levels.
- Respond to customer and registered representative inquiries related to the servicing of client brokerage accounts.
- Must be willing to progress towards handling of incoming calls from our fields agents and end-clients through our Investor Relations customer service department.
- Other projects as needed
Required Qualifications
- Bachelor's degree or equivalent work experience.
- 3-5 years of prior brokerage back-office experience - combination of processing and call center a plus.
- Experience with PC based systems. Knowledge of internal systems (OnBase / eBOSS / IPMF / CIS) and exernal Fidelity/National Financial systems (StreetScape & FBSI) a plus.
- Must be extremely accurate and able to balance with speed of data entry in order to deliver high productivity levels.
- Must work well under pressure.
- Strong knowledge/experience with MS Office (Excel: vlookup, pivot tables, etc.)
Desired Qualifications:
- Knowledge of securities products and industry regulations.
- Excellent oral and written communication skills enabling employee to relay information to registered representatives, agents and customers accurately and with confidence.
- FINRA Series 07 not required but desired.
#LI-RC1
Staffmark is committed to providing equal employment opportunity for all persons regardless of race, color, religion, sex, sexual orientation, gender identity, age, marital status, national origin, citizenship status, disability or veteran status.
- Updating client profile information through Book & Records periodic notifications and other written instructions
- Managing return mail queues
- Handling of various other account correspondence maintenance items
- Entering in new account applications for brokerage(AdvisorOne), MainStay, non-proprietary, general agency new business. The associate must ensure the application is in compliance with all Securities policies and securities industry regulations
- Managing workflow queues within our service levels.
- Respond to customer and registered representative inquiries related to the servicing of client brokerage accounts.
- Must be willing to progress towards handling of incoming calls from our fields agents and end-clients through our Investor Relations customer service department.
- Other projects as needed
Required Qualifications
- Bachelor's degree or equivalent work experience.
- 3-5 years of prior brokerage back-office experience - combination of processing and call center a plus.
- Experience with PC based systems. Knowledge of internal systems (OnBase / eBOSS / IPMF / CIS) and exernal Fidelity/National Financial systems (StreetScape & FBSI) a plus.
- Must be extremely accurate and able to balance with speed of data entry in order to deliver high productivity levels.
- Must work well under pressure.
- Strong knowledge/experience with MS Office (Excel: vlookup, pivot tables, etc.)
Desired Qualifications:
- Knowledge of securities products and industry regulations.
- Excellent oral and written communication skills enabling employee to relay information to registered representatives, agents and customers accurately and with confidence.
- FINRA Series 07 not required but desired.
#LI-RC1
Staffmark is committed to providing equal employment opportunity for all persons regardless of race, color, religion, sex, sexual orientation, gender identity, age, marital status, national origin, citizenship status, disability or veteran status.
Requirements
- 3-5 years of prior brokerage back-office experience - combination of processing and call center a plus.