Brokerage Operations Specialist

Td Ameritrade Holding; Honolulu (HI); On-site; USD 40,000 - 50,000; Full time

Benefits offered by this job

Paid Time Off

Health insurance

401(k) matching

Bonus and profit sharing

Dental insurance

Employee assistance program

Flexible Spending Account

Life insurance

Vision insurance

Job summary

J.W. Cole is seeking a Brokerage Operations Specialist to join our team. The role involves processing new account paperwork, TOAs, and cashiering, and maintaining account updates with financial professionals and the clearing firm.

You will coach branch staff on document requirements and help ensure smooth operations. The ideal candidate has at least two years of customer service experience, strong Excel skills, and comfort with paperless workflows.

Qualifications

• At least 2 years of customer service experience.
• Proficiency with Excel and working with spreadsheets.
• Comfortable with electronic workflow and document processing (paperless).
• Able to communicate with financial professionals, branch staff and clearing firms by phone and in person.
• Resourceful thinking and problem solving abilities.
• Ability to multi-task in a fast-paced environment.

Responsibilities

• Understand the complex document requirements for different types of accounts.
• Process new account paperwork, transfer of assets (TOAs), and cashiering requests.
• Maintain account updates and ongoing requests by communicating with financial professionals and the clearing firm.
• Independently resolve issues with financial professionals, back-office internal clients, and the clearing firm.
• Coach and train branch office personnel in account document requirements, system new account setup, and cashiering.
• Promote team cohesiveness, cooperation, and effectiveness.

Skills

Excel

Phone communication

Communication skills

Problem solving

Multi-tasking

Education

Associate or Bachelor's degree

Job description

J.W. Cole seeks an outstanding Brokerage Operations Specialist to join our team.

Benefits

• Paid Time Off, including all stock market holidays off
• Health insurance
• 401(k) matching
• Bonus and profit sharing
• Dental insurance
• Employee assistance program
• Flexible Spending Account
• Life insurance
• Vision insurance

Responsibilities

• Understand the complex document requirements for different types of accounts
• Process new account paperwork, transfer of assets (TOAs), and cashiering requests
• Maintain account updates and ongoing requests by communicating with financial professionals and the clearing firm
• Independently resolve issues with financial professionals, back-office internal clients, and the clearing firm
• Coach and train branch office personnel in account document requirements, system new account setup, and cashiering
• Promote team cohesiveness, cooperation, and effectiveness

Qualifications

• At least 2 years of customer service experience
• Proficiency with Excel and working with spreadsheets
• Comfort working with electronic workflow and document processing (paperless)
• Comfortable answering and communicating over the phone and face-to-face with financial professionals, branch support staff, and clearing firms
• Resourceful thinking and problem solving skills
• Ability to multi-task and work in a fast-paced environment with frequent interruptions
• Associate's or Bachelor's degree, or combination of education and experience preferred
• Series 7 license preferred (firm will sponsor if deemed beneficial)
• Experience working at or closely with a clearing/custodial firm (e.g., Fidelity, National Financial, IWS, Pershing, Schwab, TD Ameritrade, etc.) is extremely beneficial
• Positive attitude, exceptional organization, planning & follow-up, and highly effective client-service skills

Job Details

• Job Type: Full-time
• Pay: $40,000.00 - $50,000.00 per year
• Schedule: 8-hour shift, Monday to Friday
• Location: In-person, Tampa, FL 33634 (require relocation before starting work)
• Physical setting: Office
• Supplemental pay: Bonus opportunities
• Experience: Customer service (2 years preferred), Financial services (1 year preferred)
• License/Certification: Series 7 preferred