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Specialist, Brokerage Operations, Asset Advisors, Plymouth, IN
Job
1st Source Bank
Plymouth, IN (In Person)
Full-Time
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Job Description
Assists Brokerage Operations Manager in the following: maintaining the highest standards of customer service by developing and managing all customer service functions and programs account and transaction problem resolution brokerage trading services, (i.e. policies and procedures, customer files, compliance training) 1st Source Asset Advisor operational functions, including but not limited to office management, problem resolution, sales and referral tracking and reporting, and the on-going analysis of operational procedures coordination of compliance procedures with broker-dealers. Assisting the Investment/Retirement Counselors with the maintenance of proper customer and other required files and customer service support by handling daily calls to resolve problems or inquiries in an efficient and timely manner as requested as needed Managing the compliance audit process for the bank and broker-dealer Providing administrative support for manager or department (i.e., written correspondence, mail distribution, office supply maintenance, etc.) Attends client and team meetings Maintains, acquires, and completes annual continual education on all licenses and designations, as appropriate Regular and predictable attendance is an essential requirement of the position Completes all compliance training related to the position Must understand all applicable laws and regulations that apply to the position and comply with the requirements maintaining the highest standards of customer service by developing and managing all customer service functions and programs account and transaction problem resolution brokerage trading services, (i.e. policies and procedures, customer files, compliance training) 1st Source Asset Advisor operational functions, including but not limited to office management, problem resolution, sales and referral tracking and reporting, and the on-going analysis of operational procedures coordination of compliance procedures with broker-dealers. One (1) or more or more years' experience or equivalent experience in a related field preferred. Knowledge of financial calculators. Proficient in spreadsheet applications. Microsoft Word and Excel essential. Good organization and time management skills to handle multiple tasks in a fast-paced environment. Ability to prioritize. Good written and verbal communication skills. Ability to work with different departments and business entities. Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities This employer is required to notify all applicants of their rights pursuant to federal employment laws. For further information, please review the Know Your Rights notice from the Department of Labor.