BROKER/RIA CLIENT SERVICES REPRESENTATIVE
Serve as a conduit for the flow of information between COR and its Correspondent & RIA firms. Facilitate COR’s services offerings to its correspondents & RIA firms by assisting with training, correspondent on-boarding, communication of operational matters, and service throughout the firm.
- Manage, track and research resolutions that arise with the correspondents on a daily basis
- Collaborate with operational units to enhance and maintain service quality
- Participate in special projects as needed
- Update training materials for new and existing correspondents
- Schedule any required training for correspondents in a timely manner
- Responsible for all education and communication going to correspondents, such as new product information, operational notices, etc.
Environment / Dimensions
- Thomson ONE
- SunGard access including Admin Module
- COR Web Viewer
- sFTP site
- Crystal Reports
- BEP Editor
- BETA Online Docs & BUC site
Work in conjunction with the conversion teams to transition a new client during the conversion process to onboard new Correspondents and RIA firms. Assist with training on BETA Systems and any other related platforms which include but are not limited to desktop applications.
Work directly with Registered Investment Advisor firms that are looking to do business with COR to acquire all needed documentation to initiate the Conversion Process.
Serve as a point of contact for all correspondents weather Independent Broker Dealers or Registered Investment Advisors on day to day operational issues.
Receive inquiries from Independent Broker Dealers or Registered Investment Advisors; follow through to ensure questions and problems are addressed in a timely manner, direct operational issues to the appropriate departments: facilitate “soft hand-offs” if necessary.
Assist with testing new system versions to ensure the implementation of quality products and tools.
Provide ongoing training to Independent Broker Dealers and Registered Investment Advisors personnel on all systems.
Identify training issues, product needs and any other reoccurring matter that requires attention.
Follow up on operational issues with the appropriate operations manager. Address training issues with Independent Broker Dealers and Registered Investment Advisors.
Act as the conduit for announcements or communications to Independent Broker Dealers and Registered Investment Advisors regarding procedure, policy or processing changes.
Assist in writing and maintaining policies and procedures and identifying standards and efficiencies for the department.
Work with compliance, product development, and operational areas in order to keep current with any system enhancements that would impact our Independent Broker Dealers and Registered Investment Advisors.
Participate in special projects and perform any other duties as directed. Serve as back-up to other positions in the department.
Qualifications / Requirements
- Working knowledge of the securities industry, its products and operations.
- Knowledge of IRS, FINRA, SEC and MSRB rules and regulations.
- Excellent oral and written communication skills, decision-making, analytical and problem-solving skills.
- Successful completion of the FINRA Series 7, General Securities Exam.
- Demonstrate the ability to provide quality and thorough customer service.
- Understanding of back office systems including but not limited to BETA, Thomson ONE, SunGard, and department policies and procedures.
- Effective self-starter
- Ability to handle multiple tasks simultaneously, prioritize, and complete them in a fast-paced environment
- Ability to learn, apply and retain new information and skills quickly
- Ability to display professionalism across all settings
- Ability to solve problems quickly
- Ability to produce high quality work and meet deadlines
- Ability to anticipate business needs for internal and external clients
- Ability to organize, prioritize, and share work responsibilities as needed to manage and ensure the successful completion of client requests within agreed-upon service levels
- Strong analytical, organizational, and problem solving/decision making skills
- Proven ability to work effectively in a team setting as well as independently with minimal supervision
If you feel your experience aligns with this position, please respond in confidence with resume and compensation history via one of the following, or complete our online application:
1200 Landmark Center, Ste. 800
Omaha, NE 68102-1916
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