Wealth Management Operations Specialist
Securities Operations Representative – Advisory Operations
Key Responsibilities
- This position is responsible for servicing registered representatives, branch office supervisors, field staff, clients and internal staff. Calls frequently involve transaction processing, researching discrepancies, performing in depth research and problem solving.
- Effectively and efficiently handle moderate call volume regarding brokerage accounts, managed accounts and account maintenance items, with a primary focus on the managed account platform.
- Open accounts, handle maintenance items and process on the managed platform.
- Research and resolve problems with maintenance requests, trades and commissions.
- Perform diligent follow up to ensure accuracy of requests processed.
- Enter equity, mutual fund and fixed income transactions.
- Educate registered representatives regarding Firm procedures and technology offering.
Requirements
- Bachelor’s degree required
- Ability to obtain licenses within 90 days of employment: FINRA Series 7& 65/66
- Strong background in customer service with the ability to handle difficult conversations.
- Demonstrated ability to perform quality work in a fast-paced environment.
- Strong interpersonal, time management, communication and organizational skills.
- Ability to pass background and fingerprint check
National Life Group ® is a trade name of National Life Insurance Company, Montpelier, VT, and its affiliates. Equity Services, Inc. (ESI) is a Broker-Dealer and Registered Investment Adviser affiliate of National Life Insurance Company. In CO, MO, NH and WI, ESI operates as Vermont Equity Service. Each company of the National Life Group is solely responsible for its own financial condition and contractual obligations.