Operations Associate – Account Transfers and Security Processing

Lever, Inc.; Great Falls (MT); On-site; USD 42,000 - 64,000; Full time

Benefits offered by this job

Medical, Dental and Vision

Company 401(k) and ESOP contribution

Generous sick, vacation, and maternity

Paid holidays

Professional Development Opportunities

Tuition Reimbursement

Discounted personal insurance

Charitable gift-matching program

Davidson Day of Giving

Job summary

D.A. Davidson Companies is seeking a detail-oriented professional to support transfer activities, processing client account transfers and physical securities with accuracy. The role requires collaboration across branches and transfer agents to ensure timely, compliant processing.

You will review documents, manage daily reports for exceptions, and assist in safekeeping trades while maintaining high service standards and teamwork in a dynamic environment.

Qualifications

• High school diploma
• Communicate verbally and in writing in a clear and effective manner
• Organizational and time management skills to be able to work under pressure
• Computer proficiency: knowledge of Microsoft Outlook, Word, and Excel
• Capability to adapt to constantly evolving work environment and quickly develop the vital skills and knowledge to address a new process or procedure
• Detail oriented and possess good follow-up skills

Responsibilities

• Support branch associates in a variety of aspects relating to the transfer of client accounts
• Work with a variety of departments at D.A. Davidson to ensure accuracy throughout the transfer process
• Review, process and follow-up on incoming and outgoing account transfers
• Review and approve documentation
• Review daily reports for exceptions and take the necessary action to resolve
• Process and distribute mail
• Proactively work with both branches and transfer agents
• Request appropriate documents from branch in order to process and clear safekeeping trades. Follow-up on all past due trades.
• Review and present certificates to transfer agents for reorganizations, registration, and redemption.
• Follow up to transfer agents on pending physical transfer items
• Re-register certificates for deposit to the vault or to be mailed to client via FA and their support teams.
• Perform other duties as assigned

Skills

Verbal and written communication

Organizational skills

Time management

Detail oriented

Follow-up skills

Adaptability to evolving processes

Education

High school diploma

Tools

Microsoft Outlook

Microsoft Word

Microsoft Excel

Job description

D.A. Davidson Companies is an independent, employee-owned company with a rich history spanning 90 years. We are dedicated to conducting our business in accordance with the highest standards of integrity and ethics, and delivering outstanding service to our clients and each other. We support a friendly, open and supportive culture, and encourage candid communication and productive engagement that make our companies and each of us better. Just as we work to improve our clients’ financial well-being, we also work to strengthen local communities—and giving back is one of our core values. You can learn more about our company culture and impact in our latest annual report.

D.A. Davidson Companies is an independent, employee-owned company with a rich history spanning more than 90 years. We are dedicated to conducting our business in accordance with the highest standards of integrity and ethics, and delivering outstanding service to our clients and each other. We support a friendly, open and supportive culture, and encourage candid communication and productive engagement that make our companies and each of us better. Just as we work to improve our clients’ financial well-being, we also work to strengthen local communities—and giving back is one of our core values. You can learn more about our company culture and impact in our latest annual report.

Summary/Function:

This position is responsible for processing account transfers into and out of D.A. Davidson and processing physical securities. This role requires flexibility, organization, accuracy, and attention to detail. The qualified applicant will be capable of working independently and as a team member.

Qualifications:

• High school diploma
• Communicate verbally and in writing in a clear and effective manner
• Organizational and time management skills to be able to work under pressure
• Computer proficiency: knowledge of Microsoft Outlook, Word, and Excel
• Capability to adapt to constantly evolving work environment and quickly develop the vital skills and knowledge to address a new process or procedure
• Detail oriented and possess good follow-up skills

Duties:

• Support branch associates in a variety of aspects relating to the transfer of client accounts
• Work with a variety of departments at D.A. Davidson to ensure accuracy throughout the transfer process
• Review, process and follow-up on incoming and outgoing account transfers
• Review and approve documentation
• Review daily reports for exceptions and take the necessary action to resolve
• Process and distribute mail
• Proactively work with both branches and transfer agents
• Request appropriate documents from branch in order to process and clear safekeeping trades. Follow-up on all past due trades.
• Review and present certificates to transfer agents for reorganizations, registration, and redemption.
• Follow up to transfer agents on pending physical transfer items
• Re-register certificates for deposit to the vault or to be mailed to client via FA and their support teams.
• Perform other duties as assigned

What we offer:

Competitive salary plus excellent benefits and perks including, but not limited to:

• Medical, Dental and Vision
• Company 401(k)and ESOP contribution
• Generous sick, vacation, and maternity/parental leave
• Paid holidays
• Professional Development Opportunities
• Tuition Reimbursement ($15,000 lifetime cap)
• Discounted personal insurance including home, auto and recreational vehicles.
• Charitable gift-matching program
• Davidson Day of Giving – Our tradition of positively impacting communities in which we live and work.

The compensation offered will be determined on a case-by-case basis considering a variety of factors including, but not limited to, the skills, relevant work experience, and geographic location of each specific candidate.

At D.A. Davidson, we are committed to fostering a diverse environment that supports the development and inclusivity of all employees.

We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, sex, gender, gender expression, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.

ACKNOWLEDGMENT

Please answer all questions carefully. By submitting this application for employment, I certify that all of the above information is true and complete and I understand that any falsification or omission of information made by me may disqualify me from further consideration foremploymentor, if hired, may result in my termination of my employment at any time during the period of myemployment, regardless of the amount of time that has passed. California applicants, please see D.A. Davidson’s California Resident Privacy Policy.