Seeking a highly motivated individual to manage the day-to-day operations of the Equity Services Inc. (ESI) Advisory Operations team. The ideal leader will be customer experience focused, have prior work with managed account platforms, in-bound phone queues and order entry/trading as well as the new account set-up and maintenance processes.
- Monitor the daily operation and duties of the advisory operations team
- Monitor equity, mutual fund and fixed income transactions to ensure timely and accurate entry and processing;
- Monitor new advisory account set-up, implementation and daily maintenance processes such as deposits, journals, goal modifications, etc.
- Mentor, develop and train the operations staff while remaining an integral part of the business;
- Ensure the team’s delivery of timely and accurate phone support to the field;
- Make recommendations to improve advisory processing in the most efficient manner;
- Educate registered investment advisors with regard to managed account best practices;
- Be the first point of contact for the escalation of field concerns and trade corrections; research and resolve problems with trades, reporting, fees and administration;
- Be an active participant in the relationship with Envestnet and separate account money managers;
- Manage advisory exception reports in compliance with applicable securities industry rules and regulations.
- Collaborate with internal departments and customers as needed
- Serve as an additional management review resource for the Suitability Team
- 5-10 years of experience, preferably in Advisory Operations, Trading and Service
- Bachelor’s degree in related field
- Must have a proficiency in Microsoft Office Suite
- FINRA Series 7. 63, 65/66 and 24 licenses
- Ability to meet established deadlines; must be a self-starter and be able to work independently as well as being a team player
- Demonstrated customer service skills
- Excellent written and verbal communication skills required
- Ability to work in a fast-paced environment; strong organizational skills a must
Equity Services, Inc., Member FINRA/SIPC, is a Broker/Dealer and Registered Investment Adviser.
National Life Group® is a trade name representing various affiliates, which offer a variety of financial service products. Equity Services, Inc. is a member of National Life Group.
National Financial Services, LLC and Envestnet are independent of Equity Services, Inc.