Senior Investment Operations Analyst

About This Role

This role involves accurately processing new accounts and maintaining existing client accounts by handling new business, updates, and inquiries. The role ensures compliance with regulatory and internal obligations while providing courteous customer service.

Responsibilities

• Efficiently process both brokerage and direct held new business and account maintenance items such as address changes, registration changes, financial updates, verifications, returned mail research, and other new business functions as directed by Operations Management.
• Review and accurately index new work items in the Docupace system.
• Utilize the Docupace and Caesar Data Base systems to retrieve client paperwork and accurately enter client information into back-office systems.
• Effectively handle incoming calls on the New Accounts phone line and incoming emails in the New Accounts email inbox.
• Adhere to AIC Operations' Core Service Standards for processing and assisting other associates as dictated by volume of processing and direction from Operations management.
• Provide courteous customer service and effective oral and written communication with registered reps, outside financial institutions, Ameritas associates, and clients.
• Work effectively with peers and supervisors in a multi-location environment.
• Effectively utilize multiple software programs, Internet applications, and databases necessary to complete workload requirements.
• Process complex brokerage accounts proficiently.

Requirements

• 2+ years related work experience
• Strong data entry skills
• Strong verbal and written communication skills
• Excellent attention to detail
• Ability to multi-task in a fast-paced, high-volume environment
• Experience with MS Office
• Ability to work effectively with limited supervision and with other departments across multiple locations

Qualifications

• Bachelor degree or equivalent combination of education and experience
• 2+ years related work experience, preferably in the financial services, banking, and/or insurance industries. At least 1 year of securities processing or industry experience preferred.

Nice to Have

• 1+ year of securities processing or industry experience
• FINRA Series 7
• FINRA Series 24

Skills

* Required skills

Benefits