Operations Analyst

Job Summary and Opportunity

This role is part of the Transfer of Asset (TOA) Inbound team within Operations and offers a unique opportunity to work in a critical function of E*TRADE Advisor Services.  The team’s goal is to be part of an industry leader by providing a seamless and timely asset transfer experience for our customers.  This role is dynamic and requires continuous interaction with contra firms and internal business partners to manage the entire asset transfer process.  The role requires participating on a team that supports our business and clients. 

This role consists of processing ACAT and Non ACAT transfers, both receiving and delivering.  Day-to-Day tasks will include, but are not limited to reviewing incoming transfer requests, preparing, and mailing re-registration paperwork, and following up with contra firms on the status of transfers.  Attention to detail, accuracy and good written and verbal communication skills are essential to the position.  Must be a hands-on team player who is able to work on multiple initiatives simultaneously, as well as, remaining focused on the task at hand. 

Responsibilities

• Reviewing client forms & documentation for good order & completion. Manually processing those requests with speed & accuracy
• Working collaboratively with the Team to meet all daily responsibilities & maintain excellent service levels
• Proactively communicate with Client Service Advocates to provide guidance and answer any specific queries
• Work closely with contra firms to expedite the transfer of assets between institutions
• Take ownership by quickly identifying and resolving potential issues that may adversely affect the customer experience
• Demonstrate great urgency by ensuring open work items are addressed in a timely manner and do not breach their related SLA (Service Level Agreement) for delivery
• Work closely with all Operations functions to identify process improvement opportunities and implement best practice
• Escalate any operational, regulatory, and other risks to management
• Build strong relationships with key stakeholders across Sales, Margin, Customer Service, and Technology to create highly collaborative partnerships

Requirements

• HS Diploma
• 2 years’ experience in financial services industry
• Experience with rules and regulations governing bank and brokerage accounts preferred
• Understanding of Financial Service Operations and related core functions and controls
• Knowledgeable in the asset transfer process, including ACAT and non-ACAT methods
• Proven organizational skills with high attention to detail
• Strong computer skills (Word, Excel, Outlook, etc.)
• Strong analytical & problem-solving skills
• Excellent verbal and written communication skills
• Strong prioritization skills and ability to adapt to change
• Must be a dynamic and self-starting individual, able to work independently or as part of a team
• Ability to navigate a large organization and develop strong working relationships
• Exceptional influencing and presentation skills
• Open minded, able to share information, knowledge and expertise with peers, team members and business partners

Preferred

• Bachelor's Degree

Axos Employee Benefits Include

• Compensation for this position includes a Semi-Annual Bonus Plan
• 3 weeks’ Vacation, Sick leave, and Holidays (about 11 a year); Medical, Dental, Vision, Life insurance and more
• HSA or FSA account and other voluntary benefits
• 401(k) Retirement Saving Plan with Employer Match Program and 529 Savings Plan
• Employee Mortgage Loan Program and free access to Self-Directed Trading

APPLY DIRECTLY FOR CONSIDERATION

Axos Clearing is a leading correspondent clearing firm serving independent broker-dealers in the retail, active-trading, and institutional markets. Axos Clearing also offers flexible custody solutions for Registered Investment Advisers (RIA) and is a subsidiary of Axos Financial publicly traded on the New York Stock Exchange under the symbol "AX" (NYSE: AX).

We bring together human insight and digital expertise to anticipate the needs of our customers. Our team members are innovative, technologically sophisticated, and motivated to achieve.

Learn more about working here!

Pre-Employment Drug Test:

All offers are contingent upon the candidate successfully passing a credit check, criminal background check, and pre-employment drug screening, which includes screening for marijuana.  Axos Bank is a federally regulated banking institution.  At the federal level, marijuana is an illegal schedule 1 drug; therefore, we will not employ any person who tests positive for marijuana, regardless of state legalization.

Equal Employment Opportunity:

Axos Bank is an Equal Opportunity employer. We are committed to providing equal employment opportunities to all employees and applicants without regard to race, religious creed, color, sex (including pregnancy, breast feeding and related medical conditions), gender, gender identity, gender expression, sexual orientation, national origin, ancestry, citizenship status, military and veteran status, marital status, age, protected medical condition, genetic information, physical disability, mental disability, or any other protected status in accordance with all applicable federal, state and local laws.

Job Functions and Work Environment:

While performing the duties of this position, the employee is required to sit for extended periods of time. Manual dexterity and coordination are required while operating standard office equipment such as computer keyboard and mouse, calculator, telephone, copiers, etc. The work environment characteristics described here are representative of those an employee may encounter while performing the essential functions of this position. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions of this position.

#BankClearing

Salary : $23 - $25