The Investment Advisory Services and Operations team is a group of service professionals who support advisors on our fee based platforms. With overall accountability for the service experience for the IA platforms, the primary responsibilities of the role is to lead a team of specialists who support these fee based platforms by phone call, web support, and email. Areas of focus may include; leading process redesign based on advisor satisfaction, Vendor, internal, and external relationship building, and meeting Service and Operational SLA metrics and Quality scoring.
ESSENTIAL DUTIES AND RESPONSIBILITIES include the following. Other duties may be assigned.
• Set team goals and expectations including individual productivity and Quality targets
• Aggressively monitor employee quality of performance and train staff accordingly
• Meet service level requirements for inbound call volume and operational processing items
• Report, track, and escalate advisor issues to relevant internal stakeholders and related vendors.
• Work with internal partners on platform enhancements based on advisor feedback
• Identify opportunities for service enhancements and team efficiencies
• Coordinate user aceeptance testing for application enhancements impacting service
• Train home office staff and external users on platform navigation
• Relationship building with advisors who use our fee based platforms
• Subject matter expert on key operational aspects of the platform such as billing, account opening, and navigation
• Support organizational initiatives of; transition of advisors to the platform and representing IA Service and Operations on key projects
EDUCATION and/or EXPERIENCE
Bachelor’s degree or equivalent from two-year College or technical school + 5 years work experience in brokerage operations and/or business systems technology; or equivalent combination of education and experience.
Ability to read, analyzes, and interpret general business periodicals, professional journals, technical procedures, or governmental regulations. Ability to write reports, business correspondence, and procedure manuals. Ability to effectively present information and respond to questions from groups of managers, clients, customers, and the general public. Proper phone skills are required.
Ability to calculate figures and amounts such as discounts, interest, commissions, proportions, percentages, area, circumference, and volume. Ability to apply concepts of basic algebra and geometry.
Stong Profiency in MS Excel. Proficiency in MS Office (Access, Outlook, Word, and PowerPoint), Onyx, ACT (or other CRM), and general Internet.Understanding of securities account settlement and trading and portfolio accounting processing (such as Securities APL) considered favorable.
Ability to solve practical problems and deal with a variety of concrete variables in situations where only limited standardization exists. Ability to interpret a variety of instructions furnished in written, oral, diagram, or schedule form.
CERTIFICATES, LICENSES, REGISTRATIONS
No license required. A general understanding of the securities business is preferred.
PHYSICAL DEMANDS the physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
While performing the duties of this job, the employee is frequently required to use hands to finger, handle, or feel and talk or hear. The employee is occasionally required to stand, walk, and sit. The employee must regularly lift and/or move up to 10 pounds and frequently lift and/or move up to 25 pounds.
WORK ENVIRONMENT The work environment characteristics described here are representative of those an employee encounters while performing the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. The ability to successfully execute multiple projects within a specific time frame (multi-tasking)/
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