TSMO Associate

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WEALTH MANAGEMENT OPERATIONS Business Coral Gables, FL, US

The Amerant Investments TSMO Associate is responsible for providing operational support and exceptional customer service to the bank’s affiliated broker dealer and registered investment advisor. The AMTI TSMO Associate also provides technical support for escalated issues within the department.

• Serves as a mentor in the department, allocating work to and reviewing the work quality of others.
• Point of escalation who identifies, investigates and resolves escalated and/or complex problems in client accounts
• Responsibilities include communicating with managers to identify training needs and mapping out development plans for teams and individuals.
• Provides technical support in the event of a trade error, correction and/or cancellation while following industry best practices and minimizing market risk for the firm.
• Perform investigations of pre-settlement discrepancies and ensure settlement of all Euroclear and DTC fixed income trades to maintain broker to broker relationships and avoid interest charges and failed trades.
• Assist with Financial and Operations Principal activities that support the firm’s responsibility for compliance with applicable net capital, recordkeeping, and other financial and operational rules.
• Monitoring client email inboxes to ensure processing of all pertinent client requests and ensure high levels of customer satisfaction. Requests include performing account maintenances to investment accounts.
• Provide client support to Smart Investing Digital Portfolios overseeing billing and programming of managed accounts. Additional requests include Ach authorizations, account funding, working with Trading, and performing other account maintenance requests.
• Ensure compliance and configuration support with vendor management responsibilities. Vendors include but are not limited to Pershing, Bloomberg, Black Diamond, FIS, and Marstone.
• Applies expertise and judgement in providing quality support to internal clients daily, including phone interaction, problem resolution, transaction processing, and updates to client accounts in a timely manner.
• Performs a variety of operational tasks for the AMTI TSMO area, including processing updates to client accounts and interpreting and handling exceptions as well as resolving escalated and/or complex problems in client accounts
• Serves as the primary point of contact for Investment Consultants and executes all inquiries and requests in a timely and accurate manner with an understanding of the underlying business and specific client needs
• Serve as a subject matter expert to provide trading assistance and review and execute Structure Product orders.
• Ensure all discretionary fixed income trades are processed/allocated correctly for an in-house managed program
• Open new brokerage and advisory accounts. Review investment account documentation for required information and ensure full onboarding process, including the transfer of assets from other broker dealers.
• Primary point of contact for 3 rd Party Financial Intermediaries.
• Provides support and excellent customer service to 3 rd Party Financial Intermediaries.
• Image and index all necessary documents to electronically store permanent images of account opening documents while striving to create a paperless environment.
• Process asset movement requests inside of their pre-established SLA times within a quality-controlled process environment.
• Process securities transfer in a timely manner following industry best practices. Transfers can include but are not limited to incoming/outgoing ACAT, delivery/receive of securities free of payment which include DTC, Government, Mutual Fund, International transfers, DRS and/or DWAC transfers.
• Provide support reviewing and approving requests initiated by other team members.
• Ensure that all TRACE eligible trades are reported in a timely manner to FINRA and resolve any breaks or discrepancies.
• May review and check work of Operations Specialists and help resolve escalated issues.
• Monitor the workflow application to ensure all submitted requests are being processed in a timely manner.
• Review and respond to Items for Attention and Work Basket requests submitted by custodian in a timely manner and provide support responding to House/Fed Calls, trading restrictions and…