How will your role impact First Command?
The Licensed Investment Operations Representative will carry out the functions and goals of the Brokerage Operations department and play a key role in the Client Experience. Licensed Investment Operations Representative will execute on a variety of time sensitive and financial transactions. You will be asked to alter priorities during the day to meet time critical deadlines and work various task depending on volume. Additionally, you will take part in the organization and the department as a member of an Agile Release Train, shared services, or subject matter expert in innovation initiatives in service, operations, and technology. You will impact the organization through maintaining flexibility and learning additional new skills.
What will you be doing?
Applying detailed industry/product knowledge and functional expertise, a Licensed Investment Operations Representative will:
- Processing various account update including money movements and miscellaneous operations request for managed, brokerage, and direct at fund accounts.
- Resolve and respond to advisor/client inquiries communicating concepts and strategies in simple and easy to understand terms.
- Research complex issues and resolve working within the department, outside the department, and field office.
- Use strong decision-making skills to ensure the client’s best interest is protected with minimal corporate exposure.
- Focus on identifying, developing, and implementing opportunities to improve the client and advisor experience through process improvement and training.
- Assemble, organize, and report on production and quality information to identify trends and collaborate to improve processes.
- Monitor the regulatory landscape to identify potential issues that may affect First Command's clients and advisors as they relate to changing industry rules and procedures.
- This position will involve rotation of job responsibilities for purposes of cross-training and career development
What skills/qualifications do you need?
- Bachelor’s degree in finance, economics, business administration, or related area or equivalent combination of education and experience preferred.
- Minimum five years’ work experience in a business setting. (Required)
- Minimum three years relevant experience in financial services such as Client Services, Trading, Brokerage Operations, Investment Operations, and/or Insurance Operations. (Required)
- Service experience strongly preferred.
- FINRA Series 7 required
- FINRA Series 63 may be required dependent on responsibilities
Additional Abilities
- Handling workload to meet same day service level standards while focusing on accuracy and effectively balance priorities, quality, and productivity
- Analytical, data-mining, and problem-solving skills with the ability to analyze trends and identify and communicate problems or concerns.
- Ability to work mandatory overtime when required.
- Demonstrate confidence, skill, and professionalism needed to resolve critical issues in a manner that strengthens the client relationship and mitigates risk for the firm.
- Knowledge of Agile and /or Lean methodology
- Executes with a sense of urgency, a drive to make an impact, and a high level of self-confidence.
- Must be able to work well in high pressure situations and elevated workloads.
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