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Description

Job Summary:

The Registered Trading & Support Specialist provides support for Registered Investment Advisors (RIA) in Fixed Income and Money Movement transactions. This role is responsible for approving RIA and Custody and Clearing (CCD) trades. Additionally, this role reviews and approves RIA Money Movement requests for processing. In order to ensure success, the Registered Trading & Support Specialist must be able to accurately allocate RIA and CCD trades while adhering to reporting procedures. Strong attention to detail and communication skills are critical for success in this role.

Essential Duties and Responsibilities:

• Allocate RIA and CCD trades from corporate accounts to client accounts with speed and accuracy.

• Adhere to all reporting procedures, ensuring appropriate forms are completed within strict same-day deadlines.

• Review and send all RIA Money Movement requests for accurate and timely processing.

• Effectively communicate with internal stakeholders within the RIA and CCD departments with a strong focus on building rapport, resolving questions and anticipating concerns.

• Effectively communicate with external clients to verify their requests with a strong focus on building trust in the firm’s capabilities to accurately support their transactions.

• Resolve all internal and external stakeholder questions and concerns in a professional, efficient and timely manner.

• Support operational efficiency initiatives and provide feedback for process improvement.

• Demonstrate a sense of urgency on allocating trades, same-day reporting procedures and trade approvals.

• Perform all other duties and responsibilities as assigned.

Qualifications

Qualifications:

• Basic office practices, procedures and methods.

• Account types and industry operations in general.

• Back office systems.

Skill in:

• Organizational and time management skills sufficient to prioritize workload, handle multiple tasks, and meet deadlines.

• Operating standard office equipment and using required software applications to produce correspondence, presentations, electronic communication and spreadsheets.

• Detail orientation to ensure quality standards are met without impairing workflow.

• Follow-up to ensure resolution and completion of tasks.

Ability to:

• Provide a high level of customer service in a calm, courteous and professional manner.

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

• Organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment.

• Use effective oral and written communication skills sufficient enough to communicate and interact effectively with Financial Advisors and branch associates.

• Constructively work under stress and pressure when faced with high workloads and deadlines.

• Work independently as well as collaboratively within a team environment.

Educational/Previous Experience Requirements:

• High School Diploma or equivalent and minimum of two (2) years of experience in the Financial Services industry

or

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

Job: Administrative & Support Services

Primary Location: US-RM-Remote-Remote

Organization Investment Advisor Division

Schedule Full-time

Job Shift Day Job

Travel No

Req ID: 2300363