Securities Operations Representative

Securities Operations Representative

Summary

This position is responsible for servicing registered representatives, branch office supervisors, field staff, clients and internal staff. Calls frequently involve researching discrepancies, performing in depth research and problem solving.

Key Responsibilities

• Effectively and efficiently handle high call volume regarding brokerage accounts, managed accounts and account maintenance items

• Respond to questions from clients, registered representatives, and home office associates

• Research and resolve problems with maintenance requests, trades and commissions

• Open accounts, handle maintenance items and process transfers on the brokerage and managed platforms

• Perform diligent follow up to ensure accuracy of requests processed

• Enter equity, mutual fund and fixed income transactions

• Educate registered representatives regarding Firm procedures

Requirements

• Bachelors Degree or equivalent combination of education and experience

• FINRA Series 7 license required or ability to obtain license within 90 days of employment

• 1-3 years of experience in back-office brokerage operations

• Demonstrated ability to perform quality work in a fast-paced environment

• Must be a team player and have the ability to prioritize tasks

• Strong interpersonal, communication and organizational skills

• Familiarity with PCs and ability to learn new programs quickly

• Maintain confidentiality of company information

• Proficient in MS Office Suite, including Word, Excel, and PowerPoint

• Ability to pass background and fingerprint check

The base compensation range represents the low and high end of the range for this position. Actual compensation will vary and may be above or below the range based on various factors including but not limited to qualifications, skills, competencies, location, and experience. The range listed is just one component of our total compensation package for employees. Other rewards may include an annual bonus, quarterly bonuses, commissions, and other long-term incentive compensation, depending on the position. National Life offers a competitive total rewards package which includes: a 401(k) retirement plan match; medical, dental, and vision insurance; a company funded wellness account for director and below employees; 10 paid holidays; a generous paid time off plan (22 days of combined time-off for non-exempt employees and exempt employees have discretion in managing their time, including scheduling time off in the normal course of business, but in no event will exempt employees receive less sick time than required by state or local law); 6 weeks of paid parental leave; and 6 weeks of paid family leave after a year of full-time employment National Life Group is a trade name of National Life Insurance Company, Montpelier, VT - founded in 1848, Life Insurance Company of the Southwest, Addison, TX - chartered in 1955, and their affiliates. Each company of National Life Group is solely responsible for its own financial condition and contractual obligations. Life Insurance Company of the Southwest is not an authorized insurer in New York and does not conduct insurance business in New York. Equity Services, Inc., Member FINRA/SIPC, is a Broker/Dealer and Registered Investment Adviser affiliate of National Life Insurance Company. All other entities are independent of the companies of National Life Group. Fortune 1000 status is based on the consolidated financial results of all National Life Group companies. National Life Group 1 National Life Dr Montpelier, VT 05604

#LI-DO

#LI-Hybrid

Social Media Policy Site Disclosure and Privacy Policy