Onboarding Operations Specialist
- Process New Accounts, incoming Transfers, direct rollovers, PIPs, SWPs, and special account features for transitioning firms
- Answer questions regarding paperwork requirements and the status of new accounts and transfers
- Contact our representative's offices when paperwork is not in good order (NIGO)
- Work with Sales Supervision to resolve paperwork issues
- Organize client files in LaserFiche so that we have complete client records
- Update account status for terminated reps
- Educate representatives and their assistants on how to use AdvisorComplete
- Assist advisors and their staff with questions regarding operational procedures by phone and email queues
- Take approximately 2 to 5 inbound calls per day and respond to approximately 4 to 7 inbound emails per day
- Support department efforts 24-hour processing standards (e.g. cross-train in other areas as asked by manager/supervisor)
- Read and analyze financial reports
- May work overtime due to heavier volumes (especially in December, March and April)
- Maintain a positive environment for our clients.
- Other tasks and projects as assigned by manager
- Familiarity with Fax machine, Copier, and multi-line Telephone systems
- Can gain industry-related knowledge;
- Customer Service
- Active Listening practices
- Informative presentation and trainings.
- None
- 2+ years in brokerage/financial services, banking, operations and client support
- High school diploma/GED required
- College degree useful.
- Series 7 License beneficial
- Retirement planning certifications useful.
- You acknowledge that if hired, Kestra Financial, Inc. may, obtain and use background information concerning your credit, character, general reputation, personal characteristics, work habits, performance and experience for evaluation for your potential employment.
- It is the policy of Kestra Financial to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, sex, sexual orientation, gender, identity or expression, age, disability, marital status, citizenship, national origin, genetic information, or any other characteristic protected by law. Kestra Financial prohibits any such discrimination or harassment.
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