Trading specialist

The Investments TSMO Specialist I is primarily responsible for providing operational support and exceptional customer service to the banks affiliated broker dealer and registered investment advisor.

Responsibilities :

• Open new brokerage and advisory accounts. Review investment account documentation for required information and ensure full onboarding process, including the transfer of assets from other broker dealers.
• Image and index all necessary documents to electronically store permanent images of account opening documents while striving to create a paperless environment.
• Process asset movement requests inside of their pre-established SLA times within a quality-controlled process environment.
• Process securities transfer in a timely manner following industry best practices. Transfers can include but are not limited to incoming / outgoing ACAT, delivery / receive of securities free of payment which include DTC, Government, Mutual Fund, International transfers, DRS and / or DWAC transfers.
• Monitoring client email inboxes to ensure processing of all pertinent client requests and ensure high levels of customer satisfaction.

Requests include performing account maintenances to investment accounts.

• Provide support reviewing and approving requests initiated by other team members.
• Middle Office Liaison for the front office between Pershing, counterparties, and internal departments on all pertaining matters.

Including ADHOC requests.

• Supports the AMTI TSMO team ensuring the settlement of fixed income trades executed by the broker dealer by working with custodial bank and counterparties to ensure the timely matching of trade instructions.
• Ensure that all TRACE eligible trades are reported in a timely manner to FINRA and resolve any breaks or discrepancies.
• Monitor the internal workflow application to ensure all submitted cases are being processed in a timely manner.
• Provide superior customer service to broker dealer / registered investment advisor.
• Ensure strict confidentiality of client, firm, and employee information.
• Manage office supplies for Investments TSMO Area.
• Process document bank storage.
• Participate in monthly process review meetings by presenting assigned procedure(s) for the month.
• Review and respond to Items for Attention and Work Basket requests submitted by custodian in a timely manner and provide support responding to House / Fed Calls, trading restrictions and voluntary / mandatory corporate actions.
• Provide client support to Smart Investing Digital Portfolios overseeing billing and programming of managed accounts. Additional requests include ACH authorizations, account funding, working with Trading, and performing other account maintenance requests.

Minimum Education and / or Certifications Requirements :

• Bachelors degree in economics, finance, business administration or engineering required.
• FINRA SIE required.
• FINRA Series 99 preferred

Minimum Work Experience Requirements :

1-3 years of relevant experience processing back and middle office requests coming from Wealth Management and Broker Dealers

Technical and / or Other Essential Knowledge :

• Basic investments and securities knowledge.
• Previous experience with MS Office Skills, including MS Word, MS Excel, MS PowerPoint

Last updated : 2024-09-10