Complex Operations Associate

Job Description

The Complex Operations Associate is responsible for the execution of all complex operations activities including, but not limited to, the entering of client orders, the acceptance and disbursement of clients' funds and securities and any other tasks that pertain to the effective functioning of the complex' cage operations, as well as the complex as a whole.

The Complex Operations Associate will support the execution of complex operations, ensuring accurate and timely processing of client orders, funds, securities, and related administrative tasks. This role is critical for maintaining operational efficiency and compliance within the complex cage operations.

• Ensure that all buy and sell orders not executable through the BETA Link order entry system are entered accurately and in a timely manner with appropriate management approval.
• Facilitate the timely correction of all trade-related errors and cancel/rebills in accordance with complex main office, firm, and regulatory policies and procedures, obtaining management approval and keeping proper documentation.
• Enter all syndicate indications of interest requested by FA/CA/BSM in a timely manner.
• Enter all syndicate tickets by firm deadline, ensuring completeness and required documentation, and obtaining the appropriate management approval.
• Accurately enter all cost basis changes after obtaining management approval and maintain records for the complex according to firm policy.
• Process all DTC requests after obtaining complex management approval.
• Accurately record all checks received from clients, credit them to the proper accounts, transmit checks to Minneapolis daily, and promptly notify the respective FA and/or Associate of all checks received.
• Accurately record all securities and/or coupons received from clients, ensuring credit to the proper accounts and transmitting required information and documentation to Minneapolis daily.
• Adhere to all compliance policies and procedures and complete required internal continuing education activities.
• Maintain a high level of confidentiality in accordance with RBC's Code of Conduct.
• Perform general office responsibilities including opening and distributing mail, stamping outgoing mail, sending and receiving faxes, and maintaining correspondence and all operations-related files as required by complex main office and firm policies and procedures.

• Minimum 1-2 years of general office experience (financial services preferred)
• Bachelor's degree or job-related experience
• Basic computer skills, including Microsoft Office
• Authorized to work in the U.S. without requiring visa sponsorship
• Good interpersonal verbal and written communication skills
• Detail oriented with good math and organizational skills
• Able to manage multiple demands and competing priorities
• Able to work effectively in a fast‑paced, deadline‑oriented environment

• Associate's degree or Bachelor's degree

We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.

• A comprehensive Total Rewards Program that includes competitive compensation and flexible benefits, such as a 401(k) program with company‑matching contributions, health, dental, vision, life, disability insurance, and paid‑time off.
• Leaders who support your development through coaching and managing opportunities.
• Ability to make a difference and lasting impact.
• Work in a dynamic, collaborative, progressive, and high‑performing team.
• Opportunities to do challenging work.
• Opportunities to build close relationships with clients.

The expected salary range for this particular position is $44,000-$66,000, depending on your experience, skills, registration status, market conditions and business needs.

You have the potential to earn more through RBC's discretionary variable compensation program, which gives you an opportunity to increase your total compensation, provided the business meets its performance targets and you meet your individual goals.

• Customer Interactions
• Customer Service
• Customer Service Administration
• Customer Support Operations
• Followership
• Interpersonal Relationships
• Office Tools
• Problem Management
• Self‑Service and Virtual Call Centers
• Teamwork

Address: 9465 WILSHIRE BOULEVARD:

BEVERLY HILLS

City: Beverly Hills

Country: United States of America

Work hours/week: 40

Employment Type: Full time

Platform: WEALTH MANAGEMENT

Job Type: Regular

Pay Type: Salaried

Posted Date:

Final date to receive applications: