Broker-Dealer Operations Specialist

Guardian Life; United States; Remote; USD 57,000 - 87,000; Full time

Job summary

Guardian Life is seeking a Broker Dealer Operations Specialist to oversee client onboarding, account maintenance, and support operational efficiency. This role demands strong analytical and communication skills, along with operational expertise in financial services. Competitive salary and comprehensive benefits offered.

Qualifications

• 2+ years of industry experience required.
• Knowledge of retail client onboarding and non-purpose lending processes.
• Demonstrated proficiency in operational tasks and customer service.

Responsibilities

• Complete tasks related to New Accounts, Maintenance, and Operations.
• Support Client Onboarding and communicate policies and procedures.
• Develop and analyze metrics for performance measurement.

Skills

Communication

Multi-tasking

Time Management

Analytical Skills

Organizational Skills

Education

College degree or equivalent work experience

Securities license (Series 7 or 6) preferred

Tools

Microsoft Excel

Microsoft Word

PowerPoint

Outlook

Job description

The Broker Dealer Operations Specialist will serve a subject matter expert on all aspects of our Client Onboarding, Account Maintenance, Third Party Data Reconciliation and Non-Purpose Lending Operations. The Broker Dealer Operations Specialist will intimately understand how our Books and Records System, NetX360 works, from Account Opening through to account maintenance and account closure. They will work closely with our India Operations team and help support them on all inquiries related to Client Onboarding and Account Maintenance. They will be expected to fully understand our policies and procedures around all aspects of the Client Onboarding operations team and be able to effectively communicate those to our IARs. The candidate will also work on various reports on a daily or periodic basis which may include communication with different areas within the company. This role will be instrumental in contributing to the operation’s broad approach to driving growth efficiency across the customer lifecycle!

You are

A consummate professional with excellent verbal and written communication skills. You are self-motivated and goal oriented, and you thrive in a fast-paced environment where best in class customer service is your standard. You are patient, empathetic, detail orientated and work well independently in a team setting.

You will

• Complete operational tasks related to New Accounts, Maintenance, and other Operational items for the Pershing, Envestnet, and Albridge Wealth Reporting platforms.

• Demonstrate proficiency in service and administrative functions, with a deep understanding of advanced product capabilities and processing systems.

• Participate in our Quality Assurance program by reviewing processed items, reporting outcome and training according to documented procedures

• Fully support operationally our Non-Purpose Lending program

• Develop, analyze, and maintain metrics for measuring

• Serve as point of contact for customer inquiries from our Investment Advisers, 3rd Party sponsors, and other internal Guardian teams

• Support peer-to-peer mentoring and education regarding routine, specialty, or complex product aspects or processing systems.

• Communicate with partners across various platforms (such as phone, email) to respond to and resolve outstanding items.

• Collaborate with various internal departments including Compliance, licensing, operations, internal clearing firm, and 3rd Party Sponsors/Envestnet

You have

• 2 or more years of extensive industry experience

• College degree or equivalent work experience. Securities license preferred (Series 7 or 6)

• Knowledge of retail client onboarding/new account process, non-purpose lending and advisory products

• The skills for multi-tasking, collaboration with others, and excellent time management/organizational skills

• Possess a high degree of self-confidence, work independently and have rapid decision-making ability. Must demonstrate strong and analytical and organizational skills.

• Demonstrate ownership and follow through when reviewing workflows, exceptions and anomalies and offer practical solutions.

• Proficiency in Outlook, Microsoft Word and creating Excel spreadsheets and PowerPoint presentations is preferred.

Salary Range:

$57,810.00 - $86,715.00

The salary range reflected above is a good faith estimate of base pay for the primary location of the position. The salary for this position ultimately will be determined based on the education, experience, knowledge, and abilities of the successful candidate. In addition to salary, this role may also be eligible for annual, sales, or other incentive compensation.

Our Promise

At Guardian, you’ll have the support and flexibility to achieve your professional and personal goals. Through skill-building, leadership development and philanthropic opportunities, we provide opportunities to build communities and grow your career, surrounded by diverse colleagues with high ethical standards.

Inspire Well-Being

As part of Guardian’s Purpose – to inspire well-being – we are committed to offering contemporary, supportive, flexible, and inclusive benefits and resources to our colleagues. Explore our company benefits at www.guardianlife.com/careers/corporate/benefits . Benefits apply to full-time eligible employees. Interns are not eligible for most Company benefits.

Equal Employment Opportunity

Guardian is an equal opportunity employer. All qualified applicants will be considered for employment without regard to age, race, color, creed, religion, sex, affectional or sexual orientation, national origin, ancestry, marital status, disability, military or veteran status, or any other classification protected by applicable law.

Accommodations

Guardian is committed to providing access, equal opportunity and reasonable accommodation for individuals with disabilities in employment, its services, programs, and activities.Guardian also provides reasonable accommodations to qualified job applicants (and employees) to accommodate the individual's known limitations related to pregnancy, childbirth, or related medical conditions, unless doing so would create an undue hardship. If reasonable accommodation is needed to participate in the job application or interview process, to perform essential job functions, and/or to receive other benefits and privileges of employment, please contact [e-mail] .

Current Guardian Colleagues: Please apply through the internal Jobs Hub in Workday.