Brokerage Operations Associate - Equity Trust
Dallas, TX 75240
About the Job
The ETC Brokerage Operations Associate role provides institutional broker dealer operations support. This entails client onboarding, asset movement, trade settlement, and establishment and servicing of investment accounts. The role includes a multitude of processing functions from the opening of an account to the transfer of assets, depositing of funds, and maintenance of standard and non-standard asset types.
- Reviews required elements and performs a variety of transactions to establish and maintain accounts and investments, including the transfer of assets, cash movement, corporate actions, and processing of non-standard asset investments
- Onboards new clients including the collection of necessary documentation and screening of new accounts
- Communicates with vendors and third parties to ensure processes are functioning properly and are completed
- Processes asset movement requests and daily settlement wires
- Researches and resolves issues and discrepancies in accounts as they arise
- Responds to inquiries from internal and external sources via e-mail and telephone
- Adheres to department service level agreement for all processes
- Collaborates with Sales, Product Development and Service to satisfy client needs and requests
- Identifies and provides recommendations for process improvements, as needed
- Generates reports on daily work volumes
- Completes projects as requested
- Performs other duties as assigned
- One to two (1-2) years of experience in customer service or Operations environment, preferably in a financial services company
- Bachelor’s Degree in Business, Finance, or related field preferred
- Demonstrates the ability to handle multiple responsibilities and functions
- Has analytical skills, active listening, professionalism and is results-driven
- Knowledge and experience of retirement and taxable account types preferred
- None required
- Data Entry
- Intermediate level proficiency in Microsoft Office
- Ability to type at least 45+ WPM preferred
- Basic 10 key skills a plus
In addition to our core company competencies of Cultivates Innovation, Nimble Learning, Action Oriented, Collaborates, and Being Resilient, a successful candidate in this role should exhibit the following behavioral competencies:
- Customer Focus
- Action Oriented
- Interpersonal Savvy
- Nimble Learning
This job operates in a professional office environment and routinely uses standard office equipment. While performing the duties of this job, the associate is regularly required to speak and hear. The associate is frequently required to sit for extended periods of time, as well as stand, walk, use hands and fingers, and reach with hands and arms. This job requires the ability to lift files, open filing cabinets, and bend or stand on a stool as necessary.
DISCLAIMER/ASSOCIATE ACKNOWLEDGEMENT:
The above statements describe the general nature and level of work only. They are not an exhaustive list of all required responsibilities, duties, and skills. Other duties may be added, or this description amended at any time.
About Equity Trust:
Equity Trust empowers individual investors and financial professionals by removing the barriers to investment freedom. As an IRS approved custodian, we fulfill the custodial and administrative duties required for each type of investment account our clients hold.With an Equity Trust account, clients have the opportunity to invest in alternative assets such as real estate, precious metals, private equity, and more. Additionally, clients can invest in traditional assets such as stocks and mutual funds – all through a single custodian.As an industry-leading custodian of alternative assets in tax-advantaged accounts, our 45-year* track record of excellence is unmatched in the industry. Equity Trust streamlines the investment experience by offering optimized solutions, processes, and service.As a directed custodian, Equity Trust does not provide tax, legal or investment advice, nor do we offer or sponsor any proprietary investment products.