Associate, Advisory-Managed Accounts

Responsibilities

• Follow a range of mandatory procedures to ensure that work is carried out to the required quality standards and/or to ensure adherence to external regulatory codes and internal codes of conduct.
• Answer the telephone and assist callers or those making varied inquiries by email or mail with any basic requests for information, directing more complex matters to colleagues, as necessary.
• Account Management:
  Assist with account opening/closing, monitor accounts for compliance, and resolve account-related issues for advisory and managed accounts.
• Advisor Support:
  Serve as the primary point of contact for advisor inquiries, providing accurate information about their account opening requirements.
• Field questions and resolve issues from various internal departments and branches.
• Ensures key client information and documentation is current with firm and industry requirements, rules and regulations.
• Performs a variety of operational procedures within the department, which may include: new fee based agreement processing, system reconciliation, accounts distributions, and terminations.

• Works at a basic level to achieve thoroughness and accuracy when accomplishing a task. Typically works under close supervision.
• Works at a basic level to receive, monitor and deal with all allocated customers. Typically works under close supervision.
• Works at a basic level to understand and operate effectively all client management systems. Typically works under close supervision.
• Works at a basic level to express ideas, request actions, formulate plans, & policies by means of clear and effective verbal communications. Typically works under close supervision.