SUMMARY OF RESPONSIBILITIES
With direct supervisory review, processes, maintains and monitors current and new customer account information and required documentation.
Reviews daily reports and other job functions as related to existing and new accounts. This includes correcting registration, coding documents as well reviewing accounts for BRR, CIP and Suitability account requirements.
Reviews and processes client-related documents.
Provides customer service through phone calls or other communications from branch offices.
Monitors work flows to ensure assignments are completed in an accurate and timely manner.
Assists new recruits in opening and transferring their accounts.
Evaluates CIP data based on a scoring process and address pass or fails with reps and potentially the AML Officer.
Reviews return mail from clients which may include re-mailed to client, escalate to Principal or Compliance, return to the branch or possibly coding the account as abandoned.
Opens and changes DVP accounts for Retail and Fixed Income Capital Markets.
Analyzes and edits thousands of account data elements for conversions.
Reviews legal documents for account registration changes.
Performs other duties as assigned.
KNOWLEDGE, SKILLS, AND QUALIFICATIONS
College Degree or 2-5 years brokerage experience.
Computer proficiency including Microsoft Office, Word, and Excel.
Solid analytical skills – uses logic and reasoning to identify complex problems; reviews related information and develops options and implements solutions.
Effective communication skills and the ability to relay information well in both written and verbal form.
Decision making skills, ability to enforce policies in a fast-paced environment.
Ability to interpret, explain and apply policy and procedures.
Organized, accurate, detail oriented and able to prioritize.
Stifel Nicolaus - 13 months ago