The candidate should have working knowledge of the securities industry specifically as it relates to back office processing for standard non-retirement and retirement brokerage accounts. ?The primary responsibility for this position is the careful review of money movement and check deposit submissions by our representatives to ensure they conform to our policies and procedures. ? The specialist will review documentation for accuracy, completeness and adherence to firm policy. ?Additionally, the specialist will communicate a ?Not In Good Order? status on items to the representative via email and phone call depending on the urgency. ?

Responsibilities:?
o?? ?The primary goal of the associate will be to deliver a World Class level of customer service to our field force and their clients. ?
o?? ?Reviewing and approving check deposits into MMLIS brokerage accounts.
o?? ?Reviewing and approving money movement requests submitted by our representatives or internal business partners.
o?? ?Monitoring reports to identify transactions that are subject to broker-dealer policy.
o?? ?Review Service Requests submitted to the broker dealer by our representatives in order to provide resolution in a timely manner. ? ?
o?? ?Communicate NIGO information to financial advisors, advisor delegates and be able to follow up and obtain additional paperwork and/or information as necessary.?
o?? ?Ensure transaction requests conform to firm policies and procedures as well as clearing firm policies and procedures.
o?? ?Accurately record all requests and documentation into workflow processing tool.?
o?? ?Assist financial advisors with policy and procedural related questions?
o?? ?Responsible for handling escalations from the field, external and departments.?
o?? ?Partner with operational departments to resolve issues.?
o?? ?Work with clearing firm to escalate time sensitive requests.
o?? ?Assist management with review of various reports and projects.?
o?? ?Actively participate in team huddles, provide suggestions to allow the team to function efficiently and effectively. ?Provide front line feedback for revisions to policies and procedures.
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