Operations Associate – Account Transfers and Security Processing

Dadavidson; Town of Montana, Paterson (WI, NJ); On-site; USD 42,000 - 64,000; Full time

Benefits offered by this job

Medical/Dental/Vision

401(k) and ESOP

Sick leave

Vacation leave

Parental leave

Paid holidays

Tuition reimbursement

Insurance discounts

Gift matching

Community giving day

Job summary

D.A. Davidson Companies in Wisconsin is seeking an accounts transfer specialist to process client transfers and physical securities. You will work with branches and multiple departments to ensure accurate, timely transfers and documentation.

The role requires strong attention to detail, organizational skills, and the ability to work independently or as part of a team. We offer competitive pay and comprehensive benefits in a supportive culture.

Qualifications

• High school diploma and strong communication skills.
• Clear verbal and written communication.
• Organizational and time-management abilities under pressure.
• Proficient in Outlook, Word and Excel.
• Able to adapt to evolving procedures and learn quickly.
• Detail oriented with good follow-up skills.

Responsibilities

• Support branch associates in transfer of client accounts.
• Collaborate with multiple departments to ensure transfer accuracy.
• Review, process and follow-up on incoming and outgoing transfers.
• Review and approve documentation.
• Review daily reports for exceptions and resolve.
• Distribute mail and coordinate with transfer agents.
• Request documents and clear safekeeping trades.
• Present certificates to transfer agents for reorganizations, registrations, and redemption.
• Follow up with transfer agents on pending items.

Skills

Verbal communication

Written communication

Organization

Time management

Microsoft Outlook

Microsoft Word

Microsoft Excel

Adaptability

Attention to detail

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.