Under general supervision, uses specialized knowledge and skills obtained through experience and/or formal training to act as the liaison between branch and home office on branch operational issues. Transmits and receives security orders and executions and account information. Helps ensure branch compliance with firm and regulatory policies. Recommends solutions to moderately complex problems.
Essential Duties and Responsibilities:
Works directly with home office to coordinate branch to home office workflow, requests, and procedures.
Orders supplies, complete purchase orders, and monitor postage usage.
Transmits orders and receives reports.
Transmits and receives messages from home office.
Prepares and processes requests for accounts payable.
Maintains accounting of branch petty cash.
Assists branch managements with audit preparation.
Assists branch manager with compliance visits and replies.
Monitors daily required activities and ensures compliance by branch management.
Cross-trains and assists with other operational functions as required.
May direct the work of others and train other associates.
Performs other duties and responsibilities as assigned.
Company's working structure, policies, mission, and strategies.
General office practices, procedures, and methods.
Financial services industry investment concepts, practices and procedures.
Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.
Analyzing account information.
Organize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.
Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels.
Use mathematics sufficient to process account and transaction information.
Provide a high level of customer service.
SIE required provided that an exemption or grandfathering cannot be applied.
Series 7 required.
Series 63, 65 and/or 66 as required by state.
Ability to obtain additional securities and advisory state registrations if required by state.