Brokerage Operations Specialist II Job
Capital One - Seattle, WA

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Brokerage Operations Specialist II-729128

Position Summary

Capital One ShareBuilder, an industry leading online brokerage designed to make investing easy and affordable for everyone, is seeking a Prod Ops Coordinator to specialize in retirement account management on its Brokerage Operations team.

Brokerage Operations manages all aspects of customer account management including specialized processing in the following areas: trading, account funding, corporate actions, tax processing, account maintenance, account transfers, and mutual fund processing. Functional areas work together and leverage many integrated back office systems to ensure prompt, accurate and efficient transaction and reconciliation

Essential Functions include:

- Movements of Cash and Stock
- Exception Monitoring
- Reconciliation
- Troubleshoot system issues
- Identification and escalation of potential fraudulent activity
- Document scanning
- Review, research and respond to customer escalations
- Ensure that all records are retained in accordance with regulatory requirements

Basic Qualifications
- High School Diploma, GED or Equivalent Certification
- 2 Year of experience with Microsoft Office (Excel, Word, PowerPoint)
- 2 Year Financial Services or Brokerage experience
- FINRA Series 7
- Series 63 OR 66 License

Preferred Qualifications
- 1 Year Accounting/Bookkeeping experience
- Bachelors Degree in Business, Economics, Management or a quantitative study
- Strong organizational skills and attention to detail
- Proven ability to organize and prioritize workflow
- Excellent communication and interpersonal skills
- Strong computer and data entry skills
- Ability to work in a team environment
- Solid oral and communication skills.
- Ability to research and resolve problems.

At this time, Capital One will not sponsor a new applicant for employment authorization for this position.

No agencies please. Capital One is an equal opportunity employer committed to diversity in the workplace. We promote a drug-free work environment. We emphasize recruiting, hiring, and retaining the most qualified candidates and providing them with the opportunity to meet their potential. We provide an environment where differences lead to solutions.

Job : Operations
Primary Location : United States-Washington-Seattle-Seattle-ING Seattle Call Cente (51050)
Schedule : Full-time
Travel : No

Job Posting
Unposting Date :

Capital One - 20 months ago - save job - block
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