Description:
This role performs various functions to process and support our firms' staff and clients. The candidate will be engaged in a variety of daily tasks including cashiering and funds movement, New Accounts, ACAT's, etc. and will be responsible to ensure accurate record keeping, relying on established guidelines to perform daily functions. This role works closely with Compliance to assist that department on special projects. Direct interaction with clients, other brokers and internal support staff will be a part of the candidate's everyday routine.
At this time, Ally will not sponsor a new applicant for employment authorization for this position
*This position does require you to be in office Monday-Friday*
The Work Itself
- Perform a variety of operations functions following pre-established procedures.
- Ensure accurate record keeping in order to keep the firm compliant.
- Remain current on internal work processes, procedures, and product knowledge.
- Efficiently complete daily responsibilities ensuring clients information is updated.
- Responds to clients inquiries and issues via phone calls, emails, and faxes with minimal supervision and with the highest level of customer service and integrity.
- Prioritize multiple functions based on client and firms needs.
- Follow instructions and guidelines to perform responsibilities to industry standards.
- Strong emphasis on receiving, sorting, and filing correspondence.
- Other duties as assigned.
- Ability to work with brokerage desktop applications.
- Must be able to work overtime if required on short notice.
Skills
The Skills You Bring
- Experience in financial, brokerage, or trading services industry preferred.
- Willingness to obtain FINRA Series 7 and 63 licenses preferred.
- Bachelor's degree preferred.
- Ability to work well with others, multi-task and handle issues while working under time constraints.
- Ability to work in high-pressure environment with strict SLA's and deadlines.
- Results oriented with good organizational skills including attention to detail and accuracy.
- Excellent oral and written communication and strong desire to provide an exceptional customer experience.
- Demonstrated experience in handling client concerns and issues with tact and diplomacy.
- Able to exercise independent thought and judgment and adapt to new tasks with little notice.
- Microsoft Office skills including (Word, Outlook, Excel).