This Specialist is involved in complex process issue resolution and provides support to the business for day to day trouble shooting as well as responds to external client inquiries and complaints in accordance with firm policy and regulatory requirements.
They monitor administrative data management activity ensuring that documents are managed and are in accordance with regulatory, compliance, legal and audit requirements. They support operational technology implementations.
Use their detailed front to back process knowledge in order to support daily branch business operational activity including overseeing and performing operational approvals.
Educate front-office staff on operational policy and procedure, provide support and advise on operational issues.
Perform operational approvals such as account opening and maintenance, funds/ securities disbursements, client account and activity monitoring, correspondence and communication with the public and trade errors and corrections.
Ensure Operational processes and documents comply with regulations, guidelines, standards and policies.
Ensure that service issues are properly addressed and resolved in a timely manner.
Provide education, know-how and expertise on various products and processes handled by Operations.
Expected to increase efficiencies by utilizing technology, leveraging other operational areas and proposing process reengineering solutions.
Must have series 7, 66, 9 & 10
- N.Y. STAFF
- New York
- Category: Management
- Career level: ---
- Job type: Full Time