Licensed Platform Associate Broker Service Analyst - Raleigh, NC

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Date :
2-12-2018
Location :
Raleigh, NC US
Job ID :
30053
Functional Area :
Wealth Management - Operations
Employment Type :
Full-Time Non-Exempt
Education :
Associates Degree
Experience :
2 years
Days and Hours :
Mon - friday 8 am - 5 pm
Physical Address :
100 E. Tryon Road, Raleigh, NC  27603
Department Name :
Investor Services
Position Description :
The Licensed Platform Associate Broker Service Analyst will evaluate, research, monitor business, provide system and process training, and resolve operational issues for Licensed Platform Associates.

Principal Accountabilities:
Call Center (direct phone calls, email, 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.  Provides 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 process changes, paperwork requirements, system changes, and NetX360.  Evaluate and resolve operational issues and requests, with little or no supervision.  Serve as the main point of contact for Licensed Platform Associates and other FCIS client facing associates as needed.  Complete all research and provide answers directly back to the submitter while remaining accountable from point of the initial contact through to resolution.
Daily monitor of workflow and reports to ensure LPA and FCIS field associates action to resolution as directed by the supervisor.  Serves as back within the Broker Services Group.  Maintains deep knowledge of each desk in order to back 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 and champion change initiatives and model the changes expected of others.Basic Qualifications:
Associates Degree with a minimum of 2 years brokerage operations experience
or
High School Diploma or GED with minimum of 4 years brokerage operations experience.

Preferred Qualifications:
Ability to obtain series licenses with the first year of hire.  Series 7, 63 & 65 or 66, State Insurance License.
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