Operations Associate

Insigneo Securities LLC; Florida; On-site; USD 60,000 - 90,000; Full time

Job summary

Insigneo Securities LLC is seeking an Operations Associate to lead the review of new accounts, maintain account records, and oversee asset movement processes. You will ensure compliance with regulatory guidelines and internal policies while supporting clients and advisors.

The role requires a Bachelor’s degree and at least five years of related experience; FINRA licenses are preferred. NetX360 experience a plus, with strong attention to detail and organizational skills essential for success.

Qualifications

• Bachelor’s degree in Business Administration or related field.
• Minimum five years of industry-related experience.
• FINRA Series 99 or 7 licenses desired.
• Experience with NetX360 a plus.

Responsibilities

• Review account opening documentation for regulatory compliance and internal policies.
• Assess plausibility and reasonableness of SOW and financial information.
• Maintain custodian requirements for the account opening process.
• Inform clients of documentation deficiencies and follow up.
• Monitor pending or missing information and prepare status reports.
• Process client requests including changes in personal/financial data and asset movements.

Skills

Regulatory compliance

Account opening

Customer service

Attention to detail

Communication

Education

Bachelor's degree

Tools

NetX360

Job description

Job Description

The Operations Associate is primarily responsible for the review of new accounts, account maintenances and asset movement processes.

JOB RESPONSIBILITIES/MAIN FUNCTIONS

• Review account opening documentation to ensure it complies with regulatory guidelines and internal policies and procedures.


• Assessment of plausibility and reasonability of SOW and financial information.


• Maintain, respond, and update custodian requirements for account opening process.


• Inform clients on any documentation deficiencies.


• Monitor any pending or missing information from customers and prepare the corresponding status reports.


• Process client’s requests including changes in personal information, financial data, asset movement requests and others.


• Process client’s requests for additional services provided by the custodian such as debit cards, checks and other financial services.


• Support with general inquiries from clients.


• Ongoing training and information sharing with clients.


• Serve as liaison between the custodian and clients/advisors.

JOB REQUIREMENTS (EDUCATION AND EXPERIENCE)

• Bachelor’s degree in Business Administration or related field preferred.


• Requires a minimum of five (5) years of industry related experience.


• FINRA Series 99 or 7 licenses desired.


• Previous experience using NetX360 is a plus.

DESIRED SKILLS

• Ability to work under pressure and time bound projects.


• Ability to work with high volume of transactions in a fast-paced environment.


• Strong problem-solving skills and analytical abilities.


• Detail oriented and organized.


• Self-motivated and strong written and verbal communication skills.