Transitions Onboarding Associate Position Available In Shelby, Tennessee
Tallo's Job Summary: The Transitions Onboarding Associate role involves establishing and maintaining client relationships, resolving problems, and processing legal documents and agreements. Responsibilities include answering financial advisors' questions, opening client accounts, enforcing documentation requirements, and analyzing data. This position may involve mentoring less experienced associates, contributing to projects, and participating in training. Previous experience in the broker dealer or wealth/asset management industry is preferred.
Job Description
Description Job Summary:
Under general supervision, uses skills obtained through experience and training to establish and maintain new and existing client relationships and accounts. Facilitates problem resolution and document processing including review and analysis of supporting legal documents and agreements, and branch support. Follows established procedures to perform routine tasks that are basic to intermediate in complexity and receives general guidance and direction to perform a variety of non-routine tasks.
Essential Duties and Responsibilities:
Answers calls and questions from financial advisors (FA’s) and sales assistants (SA’s) related to account opening and maintenance. Establishes new client accounts by utilizing industry registration requirements. Via department workflows, enforces documentation requirements of clients and accounts to meet industry policies and regulations, including Anti Money Laundering and Know Your Client. Reviews standard issues, analyzes and interprets data and determines appropriate corrective action. Understands client needs, identifies root causes of problems and implements pragmatic solutions. Processes various basic department related reports and contacts FA’s and SA’s to resolve account issues. Supports and complies with established policies and procedures. May recommend suggestions to improve workflows, policies and procedures. May act in a mentor capacity to less experienced associates. Contributes to department projects, documentation, general analysis and testing as needed. Participates in a high learning culture where on-the-job training is prevalent. Reviews daily tasks for accuracy and completeness. Maintains detailed records/notes to ensure all client requests are logged and completed in a timely fashion. Assists other areas of the department with various functions when volume is high and/or staffing levels are low. May be required to assist with after-hour account validation events related to Mass Account Transfers. May participate in general User Acceptance Testing (UAT) for system and new process implementation. Performs other duties and responsibilities as assigned. Additional Skills & Qualifications Broker dealer or wealth/asset management industry experience preferred.
