Description

Hybrid Work Environment: 40% in-office and up to 60% work-from-home, if desired. Must live within commutable distance from our home office.

Hours : 8am-5pm ET (7:30am-4:30pm CT)

Job Summary:

Under limited supervision, uses intermediate knowledge and skills obtained through experience and/or training to provide support to branches, advisors and other trading groups in specific trading activities within an assigned functional area. Serves as a resource to advisors in resolving routine to intermediate problems and issues. Extensive contact with internal and external customers is required to identify, research, and resolve problems.

Essential Duties and Responsibilities:

• Manually facilitates trade order processing when required.

• Ensures that trades are executed and confirmed in accordance with organizational policies and procedures.

• Facilitates the price adjustment and trade correction process.

• Ensures trades are confirmed and researches and resolves unconfirmed trades.

• Reviews trade problem, analyzes and interprets data and determines appropriate corrective action.

• Contacts internal and external customers to resolve trading problems.

• Maintains currency in trading policies and procedures.

• Provides trading support to financial advisors and responds to inquiries regarding fund suitability, products and services.

• Establishes and maintains periodic orders. Resolves periodic order issues, cancels and corrects as needed.

• Ensures trades are receiving appropriate breakpoints/sales charges.

• Reviews, uploads and researches rejects on bulk trades for discretionary accounts, works with advisor to reprocess as needed.

• Coordinates and processes share class conversions, works with both internal and external departments and funds companies to ensure successful conversions.

• Ensures that all the varied and complex fund family rules and procedures are adhered to, and that the firm's regulatory obligations are met.

• Processes various trade related reports and utilizes tools including trade related databases and 3rd party applications.

• Researches and corrects Asset Management Services portfolio rebalance issues.

• Provides Inbox support.

• Performs other duties and responsibilities as assigned.

Qualifications

Knowledge, Skills, and Abilities:

Knowledge of:

• Intermediate investment concepts, practices, procedures and industry regulations related to Mutual Fund trading activities.

• Principles and practices of customer relations and communications.

• Accounting principles.

• Front-end system used in assigned functional area and its relationship with account history.

• Excel, Word, Outlook and other applications as needed.

Skill in:

• Identifying financial events that affect orders.

• Reconciling and correcting transactions.

• Updating and maintaining information systems.

• Handling a high volume workload, phone calls and various other requests within specified timeframes.

• Operating standard office equipment and using required software applications, sufficient to create documents, spreadsheets, and business correspondence.

Ability to:

• Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.

• Read, interpret, analyze and apply transaction information.

• Analyze and solve problems.

• Communicate effectively, both orally and in writing with associates, and internal and external customers.

• Work independently with limited direction as well as collaboratively within a team environment.

• Handle stressful situations and provide a high level of customer service in a calm and professional manner.

• Interpret and apply policies and identify and recommend changes as appropriate.

• Establish and maintain effective working relationships at all levels of the organization.

• Perform basic/intermediate levels of research.

Educational/Previous Experience Requirements:

• Associate’s Degree (A.A.) and/or a minimum of three (3) to five (5) years of experience in the financial services industry.

or

• Any equivalent combination of education, experience and/or training approved by Human Resources.

Licenses/Certifications:

• None required.

Job: Operations

Primary Location: US-MI-Southfield-Southfield

Other Locations: US-TN-Memphis-Memphis

Organization Operations & Administration

Schedule Full-time

Job Shift Day Job

Travel No

Req ID: 2400960