Brokerage Operations Analyst

Job title:
Trust Specialist

Location:
Frisco, TX(Hybrid)

Duration:6 months

Operations Analyst
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

• No Experience Required

FINRA Registrations

• SRC Indicator: NRF

Physical Requirements

• Physical Requirements:
  
  Sedentary Work

Career Level
5IC