Broker Services Customer Representative - Raleigh, NC

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Date :
Location :
Raleigh, NC US
Job ID :
Functional Area :
Wealth Management - Operations
Employment Type :
Full-Time Non-Exempt
Education :
High School Diploma
Experience :
5 years
Days and Hours :
Mon - Fri 8 am - 5 pm
Physical Address :
100 E. Tryon Road, Raleigh, NC  27603
Department Name :
Position Description :
The Broker Services Analyst evaluates, researches, and resolves operational issues for Financial Consultants, Client Service Assistants, Investment Client Assistants, Brokerage Call Center, Private Wealth Advisory Services, Licensed Platform Associates, Investor Services compliance, trading and management.

Principal Accountabilities:
Call center (direct phone calls, emails, faxes) for Investor Services field for questions regarding daily operations processing.  Use the clearing firm (Pershing) systems and/or external third party relationships to provide complete and efficient problem resolution.  Provide a one stop resource for all.  Understanding all processing desks within the operations area to answer general questions regarding processing paperwork.  Ongoing learning of new processing changes, paperwork, system changes, and NetX360. Evaluate and resolve operational issues and requests, with little or no supervision.  Serve as the main resource for Financial Consultants.  Complete all research and provide answers directly back to field remaining accountable from beginning of the call to the end of the call.
Daily monitoring of workflow at the request of Supervisor.  Serve as a backup float position for each of the specialized desks within the Broker Services group.  Maintain knowledge of each desk in order to back them up as necessary.
Assist in special projects as directed by Management.  Provide innovative and insightful ideas regarding issues and problems that are brought to their attention.  Perceive the impact and implications of the work process and provide different solutions to management.  Lead change initiatives and model the change expected of other.Basic Qualifications:
Associate degree with a minimum of 3 years brokerage operations experience.
High school diploma or GED with a minimum of 5 years brokerage operations experience.
Accounting skills.
Computer skills including MS Office (Word, Excel and Access).
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