Brokerage Operations Resume Samples
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Brokerage Operations Resume Samples
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E Stehr
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Stehr
3110 Stanton Spur
Dallas
TX
+1 (555) 403 8684
3110 Stanton Spur
Dallas
TX
Phone
p
+1 (555) 403 8684
Experience
Experience
Los Angeles, CA
Brokerage Operations
Los Angeles, CA
Mraz-Yost
Los Angeles, CA
Brokerage Operations
- Manage and execute entire cross-functional projects from start to finish; including data gathering and manipulation and analysis and communication of insights and recommendations
- Responsible to ensure effective remediation of non-compliant situations within the business unit through the re-design of process/controls and testing of their effectiveness
- Works with clients, Pershing LCC, Individual Investment Services, legal, product management, compliance groups, treasury, imaging and other related areas
- Engage with internal and external business teams and stakeholders to identify opportunities to improve performance and service
- Serves as SME regarding regulatory and compliance issues, effectively communicating complicated financial concepts to management, peers, auditors, regulators and others
- Undertakes fact gathering and performs investigative activity to monitor the effectiveness of implementation within the area of responsibility
- On a day-to-day basis, assists the management and staff of the assigned functions within the business unit or process in the design and functioning of controls and/or the interpretation of regulations and application of compliance/audit standards
Dallas, TX
Brokerage Operations Analyst
Dallas, TX
Gaylord Group
Dallas, TX
Brokerage Operations Analyst
- Complete responsibilities within established time standards and at established productivity levels
- Provide service and support for Commission Management products
- May participate in small projects and initiatives to improve performance and growth
- Complete responsibilities within established time standards and at established productivity and quality levels
- Identify trends and communicate solutions to improve communication and efficiencies
- Manage multiple tasks effectively by balancing high productivity with strong focus on delivering the highest quality
- Support both front office and back office with tasks associated with Self-directed and Managed Brokerage accounts
present
Boston, MA
Investments Brokerage Operations Manager
Boston, MA
Kohler Inc
present
Boston, MA
Investments Brokerage Operations Manager
present
- Provide leadership and coaching to all members of Operations to ensure maximum performance and attainment of personal goals and improvement plans
- Assist the Brokerage Manager with special projects (e.g. online account opening and marketing initiatives)
- Create and process all Indemnity Agreements for self-directed brokerage clients to correct tax reporting
- Compile and review operational performance metrics
- Create and maintain all brokerage forms and report repositories
- Supervise Operations and Cashiering personnel including New Accounts, Transfers, IRAs, Stock Processing, Account Maintenance and all related money movements to/from a brokerage account
- Coordinate with Regional Sales Manager to resolve Blue Sky licensing issues for registered representatives
Education
Education
Bachelor’s Degree in Value
Bachelor’s Degree in Value
University of San Francisco
Bachelor’s Degree in Value
Skills
Skills
- Demonstrated highest level of integrity, intellectual honesty, and strong work ethic
- Strong team player, acts like an owner, and ultimately focused on delivering results with high standards
- Proven ability to successfully thrive in an ambiguous environment and changing market conditions
- Onboard strategic carrier partners and potential customers for our own backhaul opportunities
- Sharp, analytical, and thoughtful. Thoroughly thinks through problems to come up with solutions
- Takes initiative. Doesn't wait to be asked. Plans efficiently while avoiding analysis paralysis
- Proactively monitor Linehaul activity to identify, address, and prevent potential issues
- Negotiating rates with carriers to achieve optimal margins
- Continual, tactical communication with external customers (Carriers, Vendors/Suppliers) and internal customers (Retail, Finance, Software Support, Sort Centers, Fulfillment Centers)
- Develop performance metrics to assist with driving business results
12 Brokerage Operations resume templates
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1
Brokerage Operations Analyst Resume Examples & Samples
- Thorough understanding of brokerage operations / financial services with a minimum 2-3 years previous brokerage operations or equivalent experience
- Must be flexible and work as a team to deliver exceptional service, manage high volume of tasks to ensure cases are processed both accurately and efficiently
- Ability to understand financial impacts associated with operational and trading responsibilities
- Manage multiple tasks effectively by balancing high productivity with strong focus on delivering the highest quality
- Complete responsibilities within established time standards and at established productivity levels
- Initiate Incoming Account Transfers
- 3 years of brokerage business experience and/or call center financial services experience required
- Previous experience with Pershing NetX360 system a plus
2
Brokerage Operations Analyst Resume Examples & Samples
- Provide high quality customer services to internal clients on the phone
- Respond to internal client inquiries in a prompt, professional manner
- Process new account enrollments
- Deposit of client funds
- Must understand the regulatory requirements to open and maintain a managed account
- Ability to recognize that operational changes may have an impact on a managed portfolio and take appropriate steps to ensure client's portfolio is not negatively impacted
- Basic Qualifications: Required
3
Senior Brokerage Operations Specialist Resume Examples & Samples
- Review of trading across client and firm accounts (including option, margin, time and sales, mark-up/downs and margin)
- Review of best execution reports
- Runs all Pershing reports relating to operations and reviews daily: Money Due Report, Unsecured Debit Balance Report, Insufficient Funds Report Money Line Report, and Wire Activity Report, etc
- Researches, writes and follows up on letters of indemnification, and maintains spreadsheet on all outstanding corrections. Researches and issues checks due to a loss or commission correction
- NASD Series 7 & 63 Licenses
- Nebraska Insurance License
- NASD Series 24 License preferred
- Two to three years of experience in the securities industry
- Two to three years of experience in financial services and/or broker/dealer
- Two to three years of experience in options and margin trading
- Experience in trading investments such as equities, options, mutual funds, annuities and insurance products
- Knowledge of Pershing system
- Advanced excel- V-look up and Pivot Tables
- Analytical and research skills
- PC skills, including knowledge of Microsoft Office
4
Brokerage Operations Specialist Cywl Resume Examples & Samples
- Utilize information presented on the COMPASS Workflow system to accurately process and submit all annuity and mutual fund transactions, as well as any corrections to previously placed trades, into the various subsystems employed by M&T Securities
- Trade corrections require a good understanding of the underlying security characteristics as well as general knowledge of the account type
- All trade corrections must be reviewed for validity and what appropriate action must be taken to correct
- Accurately process all paper documentation received determining in good order and entering on various subsystems IRA distribution, account transfer, Hogan entry and account maintenance requests daily
- Account maintenance requests to include but not limited to: name and address changes, POA additions, cost basis changes, account settlement changes including validation of banking instructions, systematic purchase and redemption set up as well as social security number changes
- Proactively identify any inaccuracies and follow up with Financial Consultants to resolve discrepancies in a timely fashion
- Act as contingency support for account opening processes
- Continually interact with other individuals within Operations to ensure timely, accurate completion of various tasks
- Perform additional functions, assignments or projects as requested by management to ensure efficient functioning of the unit
5
Brokerage Operations Specialist Czwq Resume Examples & Samples
- Review new account documents for accuracy and completion
- Review account servicing paperwork and the corresponding work item submitted for accuracy and completeness
- Communicate with other business units as needed to ensure that any errors are corrected or clarified
- Work daily, weekly, monthly and quarterly reports required by FINRA or the Broker/Dealer
- Perform other duties as requested
6
Brokerage Operations Analyst Charlotte Resume Examples & Samples
- 3 or more years of brokerage business experience and/or call center financial services experience required
- Series 7 and 63 required
- Option trading knowledge is preferred
- Knowledge of estate processing and legal review is preferred
- Strong knowledge of brokerage product features
- Strong verbal, written and analytical skills
7
Prime Brokerage Operations Resume Examples & Samples
- Main point of contact for client inquiries related to account activity
- Investigate and assist in resolving operationally related issues in client accounts such as trade settlements, journal errors, and dividend claims
- Review client accounts daily for margin calls, and ensure margin calls are met by clients
- Receive and handle client requests for all account activity such as securities transfers, money wires, restricted legend removal on securities, voluntary corporate actions
- Ensure RBC policies and procedures are implemented and adhered to
8
Brokerage Operations Analyst Resume Examples & Samples
- Self-motivated, flexible and the ability to work well in a fast-paced team environment
- Strong emphasis on delivery of exceptions customer service
- Series 24 license a plus
9
Brokerage Operations Specialist Resume Examples & Samples
- Provide a range of customer service and broker support via the telephone
- Provide current rates/yields, product information, current balances and other information relating to existing accounts to brokers
- Assist broker in form completion and provide instructions as to requirements needed for certain transactions
10
Brokerage Operations Specialist Resume Examples & Samples
- Provide personalized and immediate support to advisors on complex brokerage activities, including: Complex Trading (options, block trades, etc.), Margin (calculations, margin theoretical, etc.), Account Transfers (complex ownership - estate, trust, corporate), Corrections (equity and fixed income)
- Serve as a central point of contact for escalated advisors issues. Provide issue resolution and determine appropriate course of action, ensuring that issues are being resolved timely, accurately, and within regulatory and business controls. Track issues and analyze and identify trends to implement solutions to enhance advisor and client satisfaction
- Work in partnership with team members to support a cross-organizational team in a formal escalation process for advisors challenging existing policies, procedures or decisions
- 3- 5 years of applicable financial services/brokerage experience
- Strong understanding of the markets - options, margins, trading, etc
- Strong understanding of regulatory environment and business implications of decisions
- Proven ability to research and resolve complex, high-priority issues in a timely manner. Excellent written and verbal communication skills
- Self starter with the ability to manage multiple priorities
- Ability to influence and collaborate with or leader across the organization and at all levels to drive results
- Experience working in a Lean environment
11
Specialized Brokerage Operations Specialist Resume Examples & Samples
- Review documentation presented by customers to ensure that the paperwork is in good order. Complete daily reconciliations, check for errors, follow up on trade corrections, complete monthly processing and general ledger duties.Upon approval of the documents transactions will be required to be accurately entered into the Pershing NetX 360 system. Review and process workflow items
- Resolve any issues within department service level expectations. Proactively identify any inaccuracies and follow up with the Financial Consultant or Advisor Support Center to resolve discrepancies in a timely fashion and according to department service level expectations
- Individual will be required to review procedures and processes minimally on a quarterly basis and make necessary updates to the procedure and escalate issues to management. Continually interact with other team members within Operations as well as internal and external business partners to ensure timely, accurate completion of various tasks and issues
12
Associate Analyst, Brokerage Operations Resume Examples & Samples
- New account enrollments
- Transfer of assets (ACAT and non-ACAT)
- Various account maintenance processing/updates
- Review client initiated trades for approval
- Monthly/Quarterly advisory fees
- Responsible for clearly communicating requirements to open, fund and maintain a TIAA-CREF brokerage/managed account
- Must understand the various brokerage products and features offered by TIAA-CREF and communicate them to various internal and external clients
- Thorough understanding of brokerage operations with a minimum 2-3 years previous brokerage operations or equivalent experience
- Experience with managed, fee based accounts
- Thorough understanding of fixed income, equity and mutual fund trading
- Thorough understanding of brokerage operations, a minimum 1-2 years previous brokerage operations or equivalent experience
- Experience with managed, fee based accounts preferred
- Solid understanding of regulatory/compliance policies associated with brokerage business (FINRA and SEC), including IRS retirement account regulations
- Ability to understand financial impacts associated with operational functions
- Strong knowledge of IRA products and cash management features
- Series 7 license preferred or Ability/aptitude to obtain Series 7 license within a defined period if needed by the business
- Self-motivated, flexible and the ability to work well in fast-paced team environment
- Strong emphasis on delivery of exceptional customer service and quality
- College Education preferred
13
Manager Brokerage Operations Resume Examples & Samples
- Lead and motivate a team to of individuals to achieve target performance and quality metrics
- Provide team members with goals that align with department goals and objectives
- Provide and encourage participation in growth opportunities for team members
- Be a visible leadership within the unit through daily interactions, which include team meetings, one-on-one meetings
- Monitors and assess operating trends and recommends changes to senior management
- Create and improve existing processes utilizing continuous improvement methodology
- Daily interaction with clearing vendor to ensure timely and accurate completion of requests as defined by clearing relationship
- 3-5 years previous financial operations management experience in a broker-dealer
- Previous experience with processing departments, which receive/collect information, data and client instructions
- Strong communication skills: ability to speak and write effectively and foster open communication with staff, as well as internal and external clients
- Ability to adjust to multiple demands, shifting priorities and rapid change
- Securities industry knowledge; including security types, functional knowledge of markets and movement of securities, cash and other general securities market functionality
- Self-motivated with the ability to work independently and to take initiative to solve problems and to meet deadlines
- FINRA Licensing Series 7, 63, 26 required. Series 24 a plus
- Experience working with vendors that support correspondent clearing and managed accounts platforms. Previous experience with Pershing, LLC a plus
14
Investments Brokerage Operations Manager Resume Examples & Samples
- Supervise Operations and Cashiering personnel including New Accounts, Transfers, IRAs, Stock Processing, Account Maintenance and all related money movements to/from a brokerage account
- Responsible for staffing Operations to include hiring, goal setting, performance reviews and ratings, salary reviews, promotional transfers and training. Responsible for hiring temporary associates, as needed
- Provide leadership and coaching to all members of Operations to ensure maximum performance and attainment of personal goals and improvement plans
- As Designated Principal, review and approve each Self-Directed Brokerage application and applicable legal paperwork
- Restrict and monitor accounts that are not approved. Subsequently, take the appropriate action to mitigate risk for these accounts, including restricting online access and preventing any money movements. Request a 407 letter from the applicable firm's Compliance department to setup duplicate statement and confirmations for each registered individual's account
- Perform a daily review of all incoming and outgoing money movements including checks, wires, and ACHs to ensure proper anti-money laundering (AML) policies and procedures are being followed
- Approve all internal money transfers, including Roth conversions and IRA re-characterizations
- Monitor daily Client Service Request (CSRs) report to guarantee prompt processing of operational tasks
- Work closely with BB&T Securities, LLC Credit and Margin department and BB&T DRL Risk Mitigation to review and restrict all loan collateral accounts to comply with the BB&T Control Agreement
- Identify and notify clients considered an “unresponsive payee” in order to comply with Securities Exchange Commission (SEC) rule 17Ad-17
- Use managerial reports to ensure prompt client payment for trade-related and other miscellaneous debits
- Manage online trading for brokerage clients. Proactively restrict internet trading to comply with legal and/or regulatory regulations
- Coordinate with Regional Sales Manager to resolve Blue Sky licensing issues for registered representatives
- Work with Compliance Manager to secure all books and records from terminated registered representatives and to the extent possible, ensure such records are not reproduced or removed from the Company's premises. Similarly, enable and disable associate access to the Thomson One brokerage system based on an entitlement matrix
- Review stock certificates deposited into brokerage accounts to ensure Compliance with the low-priced security policy
- Utilize monthly reports to minimize un-invested cash and notify clients by mail
- Update the Marketconnect online trading/online access website for brokerage clients, including proper disclosures, form changes and website messages
- Oversee Required Minimum Distribution (RMD) process, including quarterly communication to the sales force
- Create and review monthly brokerage client statement messages
- Create and process all Indemnity Agreements for self-directed brokerage clients to correct tax reporting
- Create and maintain all brokerage forms and report repositories
- Process cost basis research fees and class action lawsuits on behalf of stockholders
- Compile and review operational performance metrics
- Assist the Brokerage Manager with special projects (e.g. online account opening and marketing initiatives)
- Bachelor's degree or equivalent education and related training
- Four years of experience in the securities industry
- Series 7 Financial industry Regulatory Authority (FINRA) Registered Representative
- Series 24 FINRA General Securities Principal License
- Series 63 State License
- Experience working in conjunction with Compliance to ensure uniformity
- One year of managerial experience in the securities industry
15
Brokerage Operations Manager Resume Examples & Samples
- Lead and motivate a team of individuals to achieve target performance and quality metrics
- Create and provide team members with goals that align with department goals and objectives
- Provide regular feedback regarding performance as related to individual and team goals
- Be a visible leader within the unit through daily interactions, which include team meetings, one-on-one meetings
- Monitor and assess operating trends and recommends changes to senior management
- Participate in development of metrics to ensure accurate forecasting of, and management to budgets, volume and staffing plans
- Operate department in compliance with regulations, policies, and procedures as set forth by FINRA, SEC, OCC and corporate requirements
- Performs daily supervising principal activity reviews to ensure processes are completed within policy and procedures
- Responsible for hiring, training and supervising operational support team
- 3-5 years previous financial operations management experience specifically in a broker-dealer is required
- FINRA Licensing Series 63 OR 65 is required
- FINRA Licensing Series 9/10 OR 24 is required
- Established understanding of the processes, policies and regulatory obligations of Brokerage and Brokerage Operations is required
- Previous experience with processing departments, which receive/collect information, data and client instructions is required
- Securities industry knowledge; including security types, functional knowledge of markets and movement of securities, cash and other general securities market functionality is required
- Successful track record of leading teams that are committed to organizational goals
- Proven ability to develop short and long-range risk management plans that are comprehensive, realistic and effective in meeting goals; integrates plans across brokerage operations business units
- Experience working with vendors that support correspondent clearing and managed accounts platforms
- Critical and analytical thinking skills - ability to quickly recognize and decide the most effective course of action
- Demonstrated ability to adjust to multiple demands, shifting priorities and rapid change
- Demonstrated competence in identifying risk areas and proactively determining appropriate mitigation strategies
16
Brokerage Operations Manager Resume Examples & Samples
- FINRA Licensing Series 7 is required or must be obtained within 6 (six) months of the date of hire
- FINRA Licensing Series 63 OR 65 is required or must be obtained within 6 (six) months of the date of hire
- FINRA Licensing Series 9/10 OR 24 is required or must be obtained within 6 (six) months of the date of hire
17
Prime Brokerage Operations Specialist Resume Examples & Samples
- Liaising/communicating with Global stakeholders and various operational groups
- Providing reporting /information to management and key stakeholders
- Identification and timely escalation of risk items to management
- Process management of various settlement related functions such as trade amendments, fails, queries & reporting within specified timescales
- Ensuring procedures are accurate, relevant and adhered too
- Pro-actively contributing towards the drive to improve process efficiency through root cause analysis
- Candidate should have a background in Financial Services within Operations
- Ability to manage and prioritise workload and work to deadlines
- Knowledge of the full Trade flow from Execution to settlement for the market & the client
- Experience preparing team procedures and assessing/implementing team controls
- Experience and knowledge of Client Servicing
18
Prime Brokerage Operations Specialist Resume Examples & Samples
- Liaising/communications with Global Stakeholders and various operational groups
- Providing reporting/information to management and key stakeholders
- Process management of various settlement related functions such as trade amendments,fails, queries and reporting within specified timescales
- Ensuring procedures are accurate, relevant and adhered to
- Proactive and flexible team player
- Knowledge of the full trade flow from Execution to settlement for the market and the client
19
Brokerage Operations Resume Examples & Samples
- This position is responsible for leading multiple key projects in functional areas
- Manages the day-to-day planning and performance of control and process audits and compliance with standards and regulations
- Serves as SME regarding regulatory and compliance issues, effectively communicating complicated financial concepts to management, peers, auditors, regulators and others
- Recommend and implement changes to methods of performing work. Provides input to policy to manage risk and exposure to the organization
- Serves as SME in business unit functions, effectively communicating complex control, process re-engineering, information and regulatory concepts to management, peers, staff and others
- Coordinate testing efforts with Internal Audit, Compliance, Risk Management and other testing functions within the business to share information and otherwise advance the established control processes
- Experience developing short and long-range risk management plans that are comprehensive, realistic and effective in meeting goals and integrating plans across brokerage operations business units
- FINRA Licensing Series 63 or 65 or 66 is required
- Requires key functional knowledge including Brokerage Operations, Control development/testing, Risk Management, Financial Regulatory Compliance and/or Project management
- Prior experience in brokerage operations is strongly preferred
- Experience with Brokerage Services applications preferred, particularly NetX360
- Handles day-to-day work challenges confidently; is willing and able to adjust to multiple demands, shifting priorities, demonstrates flexibility
- Works well in a team environment; fosters collaboration amongst team members and across various business units
20
Manager Brokerage Operations Resume Examples & Samples
- Monitor and assess Quality, SLA, Abandon Rate, ASA, AHT, ACW, Production and other relevant phone metrics. Manager will also identify operating trends and recommend changes to senior management
- Performs continual Quality Control reviews to ensure information is accurate and employees are providing necessary support to business partners
- When necessary, interactions with clearing vendor to ensure timely and accurate completion of requests as defined by clearing relationship
- 3-5 years previous call center management experience, specifically in a financial services firm
- FINRA Licensing Series 7, 24 & 63 required
- Brokerage experience required
- Demonstrated competence at identifying risk areas and proactively determining appropriate mitigation strategies
- Brokerage Operations experience is preferred
- NetX360 preferred
- Previous experience with Pershing, LLC a plus
21
Brokerage Operations Resume Examples & Samples
- Effective communication skills speaks clearly and expresses self well in groups and in one-to-one conversations conveys information clearly and effectively through formal and informal written documents
- Handles day-to-day work challenges confidently is willing and able to adjust to multiple demands, shifting priorities, demonstrates flexibility
- Challenges the status quo asserts own ideas and persuades others gains support and commitment from others
- Works well in a team environment fosters collaboration amongst team members and across various business units
22
Brokerage Operations Center of Excellence Analyst Resume Examples & Samples
- Participates in development of training programs for new hires and other internal areas
- Review and interpret legal documentation for proper operational support and execution of the requirements
- Works with clients, Pershing LCC, AIS, legal, ,product management, compliance groups, treasury, imaging and other related areas
- Create and update job aids and assist with training delivery
- Responsible for ensuring the highest level of processing integrity for self and team by analyzing data and providing new processes, system enhancements and technical solutions to complex business issues
- Experienced Individual contributor and subject matter expert able to work independently through ambiguous cases
- Lead small projects to identify workflow problems pertaining to team functions; recommend and implement solutions
- Work with cross functional teams within BSS and enterprise to standardize related processes and functions
- FINRA Series 7 required or ability/aptitude to obtain all required licenses within a 6 months of hire
- FINRA Series 63 OR 65 required or ability/aptitude to obtain all required licenses within a 6 months of hire
- Proven understanding financial impacts associated with responsibilities
- Experience in leading a function or a small group to meet stated objectives
- Experience in providing training and feedback to junior individual contributors, peers, and partner groups
23
Brokerage Operations Resume Examples & Samples
- Researches and analyzes all activities of Brokerage functions to ensure standardization across Brokerage Service Support (BSS) and other impacted business areas supporting complex enrollments (i.e. organizational accounts), cash management, disbursements/distributions, trade activity, legal documents to ensure all compliance and regulatory requirements are being met
- Support daily processing requirements to ensure highest possible quality within expected service levels
- Works with clients, Pershing LCC, Individual Investment Services, legal, product management, compliance groups, treasury, imaging and other related areas
- Facilitate and execute client transactions, corrections and complex transactions
- Participates in projects related to new products, functions, or changes associated with regulations or processes/policies
- Involved in research and resolution of escalated activities and client complaints
- Create and update job aids
- Evaluates and implements new initiatives process/workflow improvements and program/policy changes
- Supports the team and management in execution of growth strategy and success
- 1 – 3 years previous brokerage operations or equivalent experience
- Proven understanding of financial impacts associated with responsibilities
- Experience in supporting a team to meet stated objectives
- FINRA Series 7 and/or 63 is preferred but not required
- Must comply with all regulatory requirements and remain in good standing with regulatory agencies
24
Brokerage Operations Specialist Resume Examples & Samples
- Continue to develop stronger understanding of products and industry
- Conduct timely review and approval of required transaction processing through expert systems
- Research complex issues, working independently and collaboratively to find acceptable solutions
- Develop, maintain, and grow relationships with Advisors, Home Office Employees, and Fund Partners
- Maintain and produce procedures, user guides, and effectively communicate process improvement ideas
- Research and analyze warning/IFAs, discrepancy, reject reports and make necessary updates to client records to resolve issues. Engaging Advisors and clients as necessary
- Perform quality review of Transfer Agency business processing to determine departmental accuracy and timeliness metrics
- Employ critical thinking and process improvement skills to identify opportunities and trends while providing guidance or solutions for more effective and efficient processing
- Ability to work on special projects; perform unique functions with minimal direction from Management
- See Brokerage Operations Associate Job Description for more expectations
- Strong industry knowledge regarding investment and insurance operations with the ability to understand and follow FINRA, SEC and other compliance and regulatory guidelines
- Excellent verbal, written and interpersonal communication skills with an emphasis on being professional, clear, and concise. Strong technical writing skills preferred
- Effective customer service skills and the ability to collaborate with Clients, Advisors, and internal/external business partners, as needed, to resolve moderately complex inquiries and issues
- Strong analytical, data-mining and problem solving skills with the ability to analyze trends and identify and communicate problems or concerns
- Minimum three years work experience in a business setting. (Required)
- Minimum two years relevant experience in financial services specifically Brokerage Operations, Investment Operations, and/or Insurance Operations. (Required)
- Financial Services, call center, and / or service industries strongly preferred
25
Brokerage Operations Center of Excellence Resume Examples & Samples
- Must understand the various brokerage products and features offered by TIAA and communicate them to various internal and external clients
- Must understand the regulatory requirements associated with the team’s work
- Researches and analyzes all activities of Brokerage functions to ensure standardization across BSS and other impacted business areas supporting complex enrollments (i.e. organizational accounts), cash management, disbursements/distributions, trade activity, legal documents to ensure all compliance and regulatory requirements are being met
- Participates/leads projects related to new products, functions, or changes associated with regulations or processes/policies
- Provide guidance and training to staff, but have no formal supervisory responsibility
- Recognize, document trends, and assess business risk to recommend procedural changes that may have limited to moderate impact
- Research and manage the most complex customer related issues and unusual transactions
- Provides concise and meaningful updates/metrics to business unit management, including senior management
- Assignments include interaction with management, higher levels of risk and greater impact to the business
- Able to asses and interpret new assignments and provide check in/validation to and from team and management
- 5 + years previous brokerage operations or equivalent experience
- Prior project management experience with proven track record of success
- Demonstrated knowledge of brokerage product features
- Minimum 1 year of experience reviewing and interpreting legal documents
- Series 24 preferred but not required
- Strong emphasis on delivery of exceptional customer service
- Works independently receiving little instruction on day-to-day work
26
Senior Risk & Control Analyst Brokerage Operations Resume Examples & Samples
- Responsible for ensuring effective remediation of non-compliant situations within the business unit through the re-design of process/controls and testing of their effectiveness
- Recommends and implements changes to methods of performing work. Provides input to policy to manage risk and exposure to the organization
- On a day-to-day basis, assists the management and staff of the assigned functions within the business unit or process in the design and functioning of controls and/or the interpretation of regulations and application of compliance/audit standards
- Undertakes fact gathering and performs investigative activity to monitor the effectiveness of implementation within the area of responsibility
- Prepares documentation to adequately document control audits performed with supporting evidence and analysis for all findings
- Coordinates testing efforts with Internal Audit, Compliance, Risk Management and other testing functions within the business to share information and otherwise advance the established control processes
- Experience in drafting Written Supervisory Procedures and other procedural documents
- Challenges the status quo; asserts own ideas and persuades others; gains support and commitment from others
- Ability to interface effectively with peers and all levels of management
27
Manager, Brokerage Operations Resume Examples & Samples
- Build a high performance linehaul execution team
- Onboard strategic carrier partners and potential customers for our own backhaul opportunities
- Negotiating rates with carriers to achieve optimal margins
- Ability to translate customer service requirements into logistics requirements
- Lead initiatives to optimize transportation lead times, costs and service levels
- Must be able to systematically escalate problems or variance in the operating plan to the relevant owners and teams and follow through on the resolutions to ensure they are delivered
- 7-10 years experience in Brokerage Management functions
- Experience managing a division, department or team at a large brokerage firm
- Must be able to work weekend and night shifts as needed, as this team provides tactical support to Amazon’s fulfillment and sort center network 24 hours /7 days week
- 10+ years work experience in logistics/transportation industry. Work in a dispatch, brokerage or driver management capacity is a plus
- Demonstrated success working major / strategic account
- Understanding of US DOT regulations
28
Brokerage Operations Resume Examples & Samples
- Lead and maintain the sales program for our brokerage initiative and contribute to Amazon’s bottom line
- Track and report on key compliance metrics across Amazon’s Transportation network
- Build strong working relationships with vendors, suppliers, businesses and internal peers
- Negotiate with vendors on an ongoing basis to deliver high value resources to our service providers and delivery stations across the Amazon network
- Supporting ad-hoc reporting requests as needed
- Create, execute, and grow new business programs by creating internal and external partnerships
- Engage with internal and external business teams and stakeholders to identify opportunities to improve performance and service
- Develop, maintain, and review all project/program documentation (including status reports and reviews
- Critical process owner for on-road execution; introducing standard work, and support key business requirements for our technology roadmap
- Ability to manage challenging projects - work prioritization and planning
- Manage and execute entire cross-functional projects from start to finish; including data gathering and manipulation and analysis and communication of insights and recommendations
- A Bachelor's degree is required
- Previous sales experience
- Experience using problem-solving, mathematics and analytical skills using data to drive decisions in a business environment
- Experience and working knowledge of Lean techniques such as Kaizen or Six Sigma is a plus
- Demonstrated ability to work in a fast-paced, deadline-oriented work environment
29
Brokerage Operations Resume Examples & Samples
- Proactively monitor Linehaul activity to identify, address, and prevent potential issues
- Continual, tactical communication with external customers (Carriers, Vendors/Suppliers) and internal customers (Retail, Finance, Software Support, Sort Centers, Fulfillment Centers)
- Develop performance metrics to assist with driving business results
- Work within various time constraints to meet critical business needs, while measuring and identifying activities performed and ensuring service requirements are met
- Sunday - Wednesday 7:30PM - 6:00AM
- Wednesday - Saturday 7:30PM - 6:00AM
- A completed Bachelor’s Degree from an accredited university, or 2+ years Amazon work experience
- 3-5 years experience in Brokerage functions
- Experience managing a division, department or team
- Knowledge of Lean and Six Sigma methodologies
- Experience with an account or business unit start up
- Demonstrated experience using data to drive root cause elimination and process improvement
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AVP, Futures & Brokerage Operations Resume Examples & Samples
- Work closely with brokerage manager on all aspects of execution commission (brokerage) process including accounts payables, accounts receivables and risk and control oversight of function
- Help facilitate delivery of significant change initiatives to improve internal controls, increase client service standards, and add process scale by eliminating manual touch points
- Participate in industry working groups focused on improving ETD Brokerage digital invoice settlement and matching across peer firms
- Provide support on inquiries from regulators, internal and external auditors, and all oversight bodies governing function as needed
- Establish a strong network of the key points of contact for ETD Brokerage in NAM region
- Provide support to new initiatives, demonstrate effective and consistent follow up, support requests that originate from regional and global management, produce quality output and reporting
- Assist in driving the development of standards and procedures to provide support to business
- Collaborate with risk teams in the identification and mitigation of key risks in operational processes
- Monitor and effectively escalate issues related with the various risk categories
- Review procedures, process flows, and MCAs with the objective to ensure the standardization and appropriate risk mitigation approach
- Provide support of all corrective action plans that fall within the functional and geographic scope
- Provide support to regional and global management teams within ICG as needed
- Candidate must have 3+ years experience in operations or risk and control functions at a financial industry
- Knowledge of Futures Operations processes and procedures highly preferred. Solid understanding of operational risk and control environment is a must
- Strong presentation skills and ability to engage at the relevant regional and global forums
- Strong analytical and ability to synthesize data to identify and prioritize emerging risks and priorities
- Ability to manage multiple high priority initiatives and prioritize assignments
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Brokerage Operations Associate Resume Examples & Samples
- Ability to work in a fast-paced environment and successfully meet strict operational deadlines
- Better than average time management and multitasking skills
- Ability to review documents and data for completeness and accuracy while effectively addressing discrepancies
- Attention to detail and a strong commitment to comply with policies, procedures and guidelines
- Excellent verbal, written and interpersonal communication skills with an emphasis on being professional, clear, and concise
- Demonstrate passion for superior customer service, i.e. a client / advisor first mentality with a high level of integrity
- Self-motivated individual with the ability to work independently or collaboratively with proven results
- Ability to work mandatory overtime when required
- Minimum one year work experience in a business setting required
- 4 year college degree accepted in lieu of previous work experience
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Brokerage Operations Analyst Resume Examples & Samples
- Thorough understanding of brokerage operations / financial services with a minimum of 1 year previous brokerage operations or equivalent experience
- 1+ years of brokerage business experience and/or call center experience within financial services is required
- Ability to start on or around January 2, 2017
- Demonstrated verbal, written and analytical skills
- Proven ability to succeed in fast-paced team environment
- Demonstrated emphasis on delivery of exceptional customer service
- Previous experience with Pershing NetX360 system is desired
- Series 24 license is a plus
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Brokerage Operations Analyst Resume Examples & Samples
- Support internal clients with inquiries related to account opening, funding, and maintenance through incoming/outgoing phone calls and emails
- Support both front office and back office with tasks associated with Self-directed and Managed Brokerage accounts
- Review forms received to determine in good order work and communicate to resolve issues to ensure high quality processing of client requests
- Review various reports to ensure regulatory compliance and mitigate fraud
- Review and process various account maintenance processing/updates
- Responsible for clearly communicating requirements to open, fund and maintain a TIAA Self-directed and Managed Brokerage accounts
- Complete responsibilities within established time standards and at established productivity and quality levels
- Identify trends and communicate solutions to improve communication and efficiencies
- May participate in small projects and initiatives to improve performance and growth
- Must understand the various brokerage products and features offered by TIAA and communicate them to various internal clients
- Must understand the regulatory requirements to open and maintain managed and self-direct accounts
- Ability to recognize that operational changes may have an impact on a managed portfolio and take appropriate steps to ensure client’s portfolio is not negatively impacted
- Ability to handle roughly 30-40 calls per day and provide point-of-contact resolution where possible
- Must be adaptable to change in a fast-paced/high-growth business environment
- Proven emphasis on delivery of exceptional customer service
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Manager, Truckload Brokerage Operations Resume Examples & Samples
- Must have confidence and drive taking initiative and leading the team, both through giving direction and leading by example
- Partner with Customer Service, Sales and Operational Teams to ensure that all applicable goals and objectives are understood and met
- Lead team members and manage their performance through specific goals and targets
- Understand and effectively utilize the resources required to ensure that established objectives are met
- Analyze available freight, carriers and modes to determine the most cost efficient move without jeopardizing customer requirements
- Responsible for the growth of key accounts including the definition, communication, and implementation of efficient and cost effective and reliable operational services
- Develop solutions to resolve root cause of problems with both internal and external processes and situations
- Provide education and mentoring necessary for carrier representatives to achieve goals
- Foster continuing employee development through daily interaction and regular reviews
- Educate operations, sales and clients on mode diversity along with market trends & seasonality
- Serve as a liaison and escalation contact between operations and other departments
- Collaborate with HR / Training as necessary to define training needs and provide feedback on courses, as well as assist with recruiting when appropriate
- College degree preferred, with a minimum of 5 years management experience in Transportation Operations
- Knowledge and work experience in multi-modal platform including TL, LTL, Intermodal, Partial, and International Freight Forwarding
- Proven success supervising and developing employees
- Experience with successful contract and pricing negotiation
- Commitment to client service and continuous improvement
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Director, Truckload Brokerage Operations Resume Examples & Samples
- Provide strategic direction for implementing processes and metrics to meet operational and financial objectives
- Negotiate positively to obtain the maximum gross profit percentage goal while executing to customer requirements
- Identify consistent capacity opportunities within our carrier base that overlap with consistent lane opportunities provided by our clients
- Manage carrier relationships with existing carrier base to insure optimum service levels while identifying and growing new relationships
- Provide structure for Operations Supervisors and Team Leads when necessary
- College degree preferred, with a minimum of 7 years management experience in Transportation Operations
- Must be able to prioritize, multi-task, and manage time effectively
- Must be driven, enthusiastic, and positive
- Strong interpersonal communication skills are required
- Maintain positive employee, agent and customer relations
- Problem identification and solving skills are critical
- Thrives in a fast-paced team environment
- Strong attention to detail and organizational skills are required
- Proficiency with Microsoft Office including, but not limited to, Excel and Word
- Proficiency with Google office and sharing products
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Brokerage Operations Analyst Resume Examples & Samples
- Run daily margin reports and notify front office of margin calls
- Provide service and support for Commission Management products
- Provide support for opening fee-based accounts
- Provide support for access to and use of proprietary systems
- May lead projects and/or train staff
- A College or University degree
- Experience with National Financial Services back-office systems is preferred
- Series 7 license required, or must obtain within 120 days
- Knowledge to interpret policies/procedures and a thorough understanding of industry regulations, vendor policies, procedures, internal policies and be able to determine
- Where these intersect
- Sound judgment to know when to escalate possible exceptions to the technical coordinator in a timely manner
- Demonstrates excellent analytical, consultative, communication and judgment skills
- Understand complex margin requirements
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Brokerage Operations Manager Resume Examples & Samples
- Manages multiple functions within brokerage operations department, specifically the Asset Movement Department which consists of Cashiering, Transfer of Assets and Retirement Account processing
- Implements new policies and procedures to make the area more efficient and in compliance with corporate and regulatory requirements
- Acts as a liaison with other departments and/or divisions
- Resolves issues that are strategic or compliance related
- Monitors, analyzes and reports on the area productivity to senior management. Establishes quality of service level for the area
- Partners with Clearing Firm on initiatives, platform changes
- Adheres to bank policies and procedures and complies with legal and regulatory (FINRA and SEC) requirements
- Follows, or in some cases establishes, as required, effective controls and processes to ensure risks are measured, monitored and controlled and compliance requirements are adhered to on an on-going basis
- Keeps abreast of risk-related changes that may impact assigned work functions and processes
- Backup management support within Investment operations department as needed
- 5-7 years Financial Services Industry (Brokerage/Investment operations or processing experience preferred)
- 1 year management/supervisory experience
- Must obtain Series 6 within 120 days of hire
- Series 7 Preferred
- Series 24 Preferred
- Experience coaching and developing a team
- Demonstrated ability to meet deadlines and work under pressure
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Lean Manager, Brokerage Operations Resume Examples & Samples
- Leadership role in determining strategy for maturing and sustaining Lean within TD Ameritrade culture
- Manage continuous improvement and sustainability efforts with supporting businesses on an ongoing basis
- Determine strategies to reduce risk, cost savings, and improve efficiency within departments
- Facilitate problem solving efforts within Operations and across business units at TD Ameritrade
- Participate and coordinate deep dive improvement initiatives within our business
- Support ongoing development and enhancement of Lean skill set for all associates and leadership in Operations
- Conduct lean diagnostics in partnership with Lean Center of Excellence
- Support business unit specific efficiency & engagement gains and calculate Lean ROI
- Possibility to manage, lead, coach, and develop up to 2-4 Lean Transformation Coaches
- Key stakeholder in business pillar design
- Key business liaison between Brokerage Operations, Retail, Institutional, and Technology BUs for Lean strategy
- Lead project teams to implement Lean techniques
- Implement projects and process improvement efforts
- Prioritize projects internal/external for all areas and making sure projects are completed by deadlines and are properly implemented
- Integrate and mentor rotational team members from Brokerage Operations or other business units
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Brokerage Operations Processing Analyst Resume Examples & Samples
- Processing domestic and international wires
- Processing retirement distributions, conversions, and recharacterizations
- Processing restricted and control stock transactions
- Approving or processing internal account transfer of assets
- Support front office institutional and retail registered representatives
- Three or more years of related business experience
- Series 7 or 99 required or must obtain within 120 days
- Ability to multi-task, prioritize, and work within a team environment
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Advanced Brokerage Operations Specialist Resume Examples & Samples
- Handles escalated issues from other team members in order to provide personalized and immediate support to advisors on complex brokerage activities, including: Complex Trading (options, block trades, etc.), Margin (calculations, margin theoreticals, etc.), Account Transfers (complex ownership - estate, trust, corporate), Corrections (equity and fixed income)
- Researches issues as necessary to provide resolution and determine appropriate course of action, ensuring that issues are being resolved timely, accurately, and within regulatory and business controls. Track issues and analyze and identify trends to implement solutions to enhance advisor and client satisfaction
- Work with a cross-organizational team to facilitate a formal escalation process for advisors challenging existing policies, procedures or decisions
- Providing coaching and/or mentoring to less experienced employees on the desk. Lead/participate in ad hoc project work as assigned
- Provide dedicated premium support to Chairman’s Advisory Council Advisors
- 5+ years of applicable financial services/brokerage experience
- Thorough understanding of the markets - options, margins, trading, etc
- Thorough understanding of regulatory environment and business implications of decisions
- Demonstrated thought leadership; a self starter with the ability to manage multiple priorities
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Brokerage Operations Cashiering Specialist Resume Examples & Samples
- Participate in projects/tasks either independently or under the direction of the Supervisor
- Daily monitoring of and responding to Cashiering NBC inquiries within 24 hours
- Daily review and system input of various requests from clients and advisors
- Daily monitoring of task completion
- Daily advisor notification of task completion
- Daily notification to advisors regarding need for additional information to complete requests
- Any additional projects/tasks as needed by the department or manager
- Strive daily to meet and exceed department processing service levels
- Work with NFS and other internal partners to meet/exceed established company goals, objectives, and deliverables
- Must be energetic, client focused, and committed to providing premiere service to clients and advisors
- Possess superior overall business analysis, presentation, facilitation, QA and writing skills
- 2) FINRA 99, 6 or 7 license is a plus
- 5) Organized, with the ability to complete multiple tasks under various deadlines with minimal supervision
- 6) Advanced Microsoft Office skills required
- 7) AWD experience preferred
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Brokerage Operations, Cashiering Team Lead Resume Examples & Samples
- 2) FINRA 7 & 24 license required
- 3) Exceptional communication (written and verbal) and interpersonal skills with the ability to interface effectively within and across departments
- 4) Exceptional presentation and business writing skills
- 5) Demonstrated ability to manage multiple tasks and projects simultaneously
- 6) Ability to prioritize competing tasks to meet business needs
- 7) Organized, with the ability to complete multiple tasks under various deadlines with minimal supervision
- 8) Strong analytic skills; ability to analyze large volumes of data while recognizing inconsistencies and/or erroneous information or trends
- 9) Prefer advanced Microsoft Office skills
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Brokerage Operations Specialist Resume Examples & Samples
- Provide personalized and immediate support to advisors on complex brokerage activities, including: Complex Trading (options, block trades, etc.), Margin (calculations, margin theoreticals, etc.), Account Transfers (complex ownership - estate, trust, corporate), Corrections (equity and fixed income)
- 1+ years of applicable financial services/brokerage experience
- Proven ability to research and resolve complex, high-priority issues in a timely manner
- Knowledge of account transfers, including foreign transfers and experience speaking with advisors and contra firms
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Brokerage Operations Analyst Resume Examples & Samples
- You work independently with demonstrated sound judgment
- You have a strong attention to detail
- You possess strong oral and written communication skills
- You work effectively in a team environment and collaborate with others
- You have demonstrated curiosity and commitment to continuous improvement
- You bring a strong sense of ownership, accountability and a commitment to achieving objectives
- You have excellent analytical, planning and problem solving skills
- You have strong negotiation and persuasion skills
- You possess strong solution thinking and analysis
- You will bring a working knowledge of MS Excel, MS Word, and MS PowerPoint
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Managed Account Brokerage Operations Manager Resume Examples & Samples
- Your ability to identify alternatives that will minimize risk to our clients and the firm
- Knowledge of Fidelity compliance, industry and legal standards a plus
- Proven problem resolution and workflow management experience
- Strong leadership presence, communication and project management skills
- Your ability to motivate and influence others towards high performance
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Senior Brokerage Operations Specialist Resume Examples & Samples
- Handle escalated items and high profile internal NYLife Eagle Operations calls
- Train new employees on all Cashiering functions
- Provide a schedule and materials for training
- Demonstrate advanced knowledge of operational procedures, company policies, industry principles and confidently communicate this to callers
- Series 7 FINRA license preferred
- Problem Solving: Provides solutions to problems in situations that are atypical or infrequently occurring based on practice and existing precedents or procedures. The senior brokerage operations associate must be very organized and know all procedures, documentation and client data. It is expected that using their advanced knowledge and background they will know and share solutions to difficult client situations. The senior associate will be expected to update department procedures as necessary. They will be the primary point of contact for other internal departments (Investor Relations, Eagle Operations, New Accounts) that need assistance on Cashiering functions and procedures
- Decision Making / Nature of Impact: Impacts the quality, timeliness and effectiveness of the team; uses discretion to modify work practices and processes to achieve results or improve efficiency. The senior brokerage operations associate must use their experience to make sound judgments along with interpreting client intentions when making a request. Must easily analyze the forms/requests to evaluate and determine compliance with department's regulatory standards and procedures. Submit guarantee of funds requests for review based upon established criteria and experience. Prioritizing multiple critical and non-critical tasks and reports. Partner with our registered representatives to determine if an extension should be applied for a margin call
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Brokerage Operations Specialist Resume Examples & Samples
- Provide best-in-class service to our agents and clients by performing or reviewing data entry of all financial money movement transactions (checks, journals, wires, establishing periodic investment plans to/from client’s bank accounts, retirement processing of IRA distributions and conversions, transfer to/from NYLife annuity policies and Margin)
- Responsible for the reconciliation of Mobile Money (transfer of monies) transactions between NYL Securities and NYL Annuities
- Provide internal quality reports for each team member on a weekly basis
- Will be responsible for researching client bounced checks and making the final determination to authorize the bank to accept or reject the check
- Advanced processor on all processing requests in a timely, efficient and professional manner by quickly identifying the request, confirming its accuracy and entering into the appropriate system. If a request is not in good order contact the agent and/or client and document the conversation in the workflow system
- Meet established individual performance expectations and operate in a team environment to contribute to the company and team goals
- Have a strong working knowledge of multiple systems, products and services
- Bachelor’s degree highly preferred
- A minimum of 5 years of related experience required
- Functional Knowledge: Has specialized skills or is skilled in a range of processes, procedures and systems to carry out assigned tasks. Advanced knowledge of financial products (stocks, bonds, mutual funds) and industry regulations/procedures. Specific NYLife Securities products and procedures is critical to understanding the client requests and accurately determining if the request is in good order so it can be processed. Able to process all transaction types: check disbursements, journals, cash relays, wires, mobile money and retirement transactions (distributions, Conversions, Recharacterizations), bounced checks and Margin
- Leadership: May provide informal guidance and support to more junior team members. Develop working relationships with peers and management from other teams, departments and vendors to enhance problem resolution and efficiencies. The senior brokerage operations associate must display self-confidence, professionalism and remain composed during stressful high volume periods as an example for junior staff. Being a leader and team player is necessary to work together to complete the daily workload. Expected to work with no daily supervision on all the department work queues
- Communication Requirements: This position requires a customer focused attitude. It will require excellent communication with both internal (Investor Relations, Eagle Operations, New Accounts, Corporate Compliance) and external (agents and customers) sources. Also will interact with the senior NYLSEC management team on escalated issues (allowing an exception request to be processed)
