Licensed Investment Operations Associate

SilkRoad; Fort Worth (TX); On-site; USD 52,000 - 68,000; Full time

Job summary

First Command is seeking a Licensed Investment Operations Associate to support Advisors and clients by processing transactions, capturing data, and resolving discrepancies within department standards.

The role emphasizes service quality, accuracy, and cross-training opportunities, including working with multiple systems in a fast-paced environment and potential mandatory overtime when required.

Qualifications

• Bachelor’s degree preferred; equivalent combination of education and experience considered.
• Series 7 & 63 preferred.
• Minimum one year work experience in a business setting.
• Experience in Financial Services preferred.
• Attention to detail and compliance with policies.

Responsibilities

• Process account updates and miscellaneous operations for managed, brokerage, and direct fund accounts.
• Fulfill client and advisor requests to establish, service and support mutual fund, brokerage, and annuity business.
• Review incoming client paperwork and resolve items not in good order (NIGO).
• Process inbound advisor and client requests via mail, email, cases, fax, and service requests.
• Communicate effectively with advisors and clients to improve service experience.
• Participate in regular training and cross-departmental development; rotate responsibilities for career growth.

Skills

Attention to detail

Time management

Multitasking

Customer service

Integrity

Education

Bachelor’s degree preferred

Series 7 & 63 preferred

Job description

Licensed Investment Operations Associate

How will this role impact First Command?

The Brokerage Operations Associate is responsible for servicing Advisors and clients through the processing and support of First Command. The Associate is responsible for capturing data, inputting transactions, evaluating information, identifying inconsistencies / inaccuracies, formulating resolutions, processing in-good-order business, maintaining daily statistics, and communicating with advisors and office staff. The Associate performs these duties within the standards set by the department.

What will the employee do in this role?

• Develop an understanding of the functional and task responsibilities within operations.


• Processing various account update and miscellaneous operations request for managed, brokerage, and direct at fund accounts.


• Fulfill Client and Advisor requests to establish, service and support mutual fund, brokerage, and annuity business, within departmental guidelines for quality and productivity.


• Review incoming client paperwork and collaborate with essential internal and external personnel to resolve items which are not in good order (NIGO).


• Process inbound First Command Advisor and Client requests received via mail, email, cases, fax, and service requests.


• Improve the client and Advisor experience by providing effective and professional written and verbal communication to First Command Advisors and Clients.


• Engage in regular training and professional development while obtaining additional skills to enhance individual growth and cross-departmental functionality.


• This position will involve rotation of job responsibilities for purposes of cross-training and career development .

What Skills/Qualifications Do You Need?

Education

• Bachelor’s degree preferred. Equivalent combination of education and relevant work experience will be considered.


• Series 7 & 63 preferred.

Work Experience

• Minimum one year work experience in a business setting.(Required)


• Experience within the Financial Services Industry is preferred


• 4 year college degree accepted in lieu of previous work experience


• Experience working with multiple systems in a dual monitor environment, and basic computer skills


• Attention to detail and a strong commitment to comply with policies, procedures and guideline

Required Knowledge, Skills and Abilities

• Ability to work in a fast-paced environment and successfully meet strict operational deadlines.


• Above average time management and multitasking skills.


• Maintain a high degree of accuracy while meticulously processing each transaction request in a timely manner


• Experience working with multiple systems in a dual monitor environment, and basic computer skills


• Attention to detail and a strong commitment to comply with policies, procedures and guidelines.


• Demonstrate passion for superior customer service, i.e. a client / advisor first mentality with a high level of integrity


• Initiative-taking individual with the ability to work independently or collaboratively with proven results.


• Ability to work mandatory overtime when required.

First Command does not discriminate in the recruiting of Financial Advisors onthe basis of race, color, religion, national origin, sex, marital status,disability, age or veteran status. No information solicited by First Commandfrom you is intended to be used in a discriminatory manner. All informationprovided by you will be reviewed carefully, but the receipt of an Advisorapplication or other information does not imply that you will be offered theopportunity to enter into a Financial Advisor/Agent Agreement with FirstCommand.