Brokerage, Communication Skills, Financial Services, Funding, Operational Audit, Regulatory Compliance, Regulatory Requirements, Service Delivery, Team Player, Time Management
Location: Frisco, TX (Hybrid i.e., 3 days a week onsite)
Pay Rate: $23/hr
Contract Duration: 06 months
Client: Financial Services
The Operations Analyst is responsible for a variety of tasks associated with the opening, funding, account transfers, and on-going maintenance of discretionary managed, fee-based accounts, as well as self-directed accounts. Under limited supervision, this job understands the regulatory/compliance policies associated with the brokerage business and understands the financial impacts associated with operational and trading responsibilities.
Key Responsibilities and Duties- Processes account opening, initiates money movement requests, account transfers and/or processes account maintenance request.
- Deposits client funds into the correct account.
- Performs various account maintenance processing/updates as directed by supervisor.
- Communicates requirements to open, fund and maintain a TIAA brokerage/managed account.
- Completes brokerage operation activities in a timely manner and at established productivity levels.
- Understands the regulatory requirements to open and maintain a brokerage/managed account.
- Must be flexible and work as a team to deliver exceptional service, manage high volume of tasks to ensure cases are processed both accurately and efficiently.
Educational Requirements- University (Degree) Preferred
Work Experience FINRA Registrationse
eTeam Inc.
Looking for a great job? Join eTeam. We’re looking for talented staffing professionals to join our staff. We also provide contract assignments and full-time jobs at Fortune 2000 Companies. We’ve been named one of the best companies to work for by Staffing Industry Analysts and New Jersey Business.