Operations Representative (Broker Services)
: Job Details :

Operations Representative (Broker Services) | Western Suburb of Chicago (Hybrid)The main duty of the Operations Representative (Broker Services) is to support the management of the Broker Services Department. This department is tasked with developing, communicating, and implementing strategies, policies, procedures, and systems to facilitate operational and compliance support for the firm's representatives. Responsibilities:Review daily/weekly/monthly clearing reports to ensure compliance with the firm and industry regulationsSupport financial consultants, including direct communication with retail clientsAddress and manage retail client inquiries and requests promptly, including processing transactional activitiesAct as a liaison with external organizations, such as NFS, which provides clearing services to the firmInvestigate trade-related issues/commission inquiries/general representative concerns, ensuring timely resolutionProcess paperwork for client requests, including new accounts, transfers, and account maintenance formsFacilitate the delivery of documentation to clients via DocuSign/mail/overnight services/emailAssist in the registration process for the firm and reps, including managing securities licensing requirementsCoordinate the distribution of year-end renewal materials and process all year-end renewals via CRDMonitor advertising materials and customer correspondence for compliance with regulatory guidelinesSupport the firm's Continuing Education program and various certificationsAssist in responding to regulatory inquiries/customer complaints/regulatory examinations/other emerging issuesWork closely with the CCO in disseminating company policies/procedures/objectives to financial consultantsCoordinate with the CCO in monitoring advisory clients, reports, and regulatory complianceRequirements:Bachelor's degree2+ years of experience in the Brokerage industrySeries 7 required; Series 24 and/or Series 4 a plusCommunicate effectively at all levels including client interactionPrioritize and multi-task with a high degree of accuracyExperience with National Financial Services (NFS) Wealthscape and FBSI platforms a plus