Experience Inc. Jobs

Description

Hybrid Work Environment: 40% in-office and up to 60% work-from-home, if desired. Must live within commutable distance from one of our home offices.

Job Summary:

Under minimal supervision and with a high level of autonomy, applies comprehensive subject matter expertise of client and account opening and maintenance department policies, procedures and workflows to lead others and aid in the improvement of departmental efficiencies. Independently resolves and/or assists others with complex issues and escalations. May direct workflows and delegate resources as necessary to ensure timely work completion. Assesses processes for regulatory or reputational risk and compliance. Facilitates the training and mentoring of lower level associates and provides developmental feedback to leadership to aid in associate growth opportunities. Uses both subject matter expertise and project management practices to represent the department in cross-departmental projects and may lead projects that are moderate to complex in scope including Mass Account Transfers. Works with management to establish and enhance procedures.

Essential Duties and Responsibilities:

• Represents the department on regulatory matters and compliance/audits, acting as a subject matter expert (SME), as well as leading others in the resolution of such matters as warranted. Implements and maintains proper controls to aid the department in compliance of regulatory requirements.

• Provides coaching support to supervisors to ensure associates are progressing in knowledge, skills, and customer service aptitude.

• Acts as a technical SME for both internal and external clients (including financial advisors and sales assistants) and acts as a liaison between department associates and Legal, AML, and Compliance departments.

• Identifies and directs the review of complex issues, analyzes and interprets data and trends and determines appropriate corrective action.

• Guides team on understanding client needs, defines root causes of complex problems and leads implementation of solution.

• Point of contact for all escalated calls from other associates, internal clients and branch personnel.

• Designs and implements associate training programs based on consultation with Operations Documentation and Education Team to ensure appropriate training approach.

• Creates or supports training plans, facilitates sessions, and leads less experienced associates through department training as needed. Reports successes and identifies concerns to department leadership.

• Represents department on, and may lead, departmental projects, or process improvements, including requirement gathering, documentation, and functional analysis and testing as needed.

• Represents department as a SME for technology enhancements relating to systems that impact Home Office and Branches. Review and provide feedback on business requirement documents, change management, communications, and raise awareness for other downstream processes or departments that may be impacted.

• Participates in system defect reviews and issue prioritization as needed using risk based approach, as well as creation and analysis of UAT test scripts to ensure the business is testing all relevant and impacted systems/processes from end to end.

• Directs or assists in the review of lower level associates work for accuracy and completeness, analyzing results to document trends and engage in activities that support the overall improvement of department quality.

• Actively supports or leads Mass Account Transfer activities including mapping, preparation, and after-hour account validation events related to Mass Account Transfers.

• Acts as a point of contact for internal/external audits and provides demonstrations to auditor and visiting branch/home office staff.

• Performs other duties, special projects and responsibilities as assigned.

Qualifications

Knowledge, Skills, and Abilities:

Knowledge of:

• Operations and New Accounts systems.

• Customer operations and the financial industry.

• Accounting concepts and principles.

• Investment concepts, practices and procedures used in the securities industry and as required by New Accounts.

Skill in:

• Communicating complex processes with accuracy, including system interface requirements, process steps, and other business related documentation.

• Preparing various reports, summaries, surveys, and written recommendations.

• Interpersonal communication (written and verbal) sufficient to interact with associates at all levels of the organization as well as financial advisors and branch personnel.

• Identifying and resolving operational issues.

• Numerical aptitude and critical thinking sufficient to solve operational problems.

• Analyzing operational processes and identifying opportunities for improvement.

• Operating standard office equipment and using required software applications to produce correspondence, reports and electronic communication.

Ability to:

• Lead the work of others and provide cross-training, coaching and mentoring.

• Facilitate information gathering sessions ensuring that all viewpoints, ideas, and problems are included in project specifications.

• Resolve complex analytical challenges, independently analyze information, and make recommendations based on analysis.

• Handle stressful situations and provide a high level of customer service in a calm and professional manner.

• Partner with other functional areas to accomplish objectives.

• Attend to detail while maintaining a big picture orientation.

• Read, comprehend and apply business-related information.

• Incite enthusiasm and influence, motivate and persuade others to achieve desired outcomes without benefit of formal organizational authority.

• Interpret and apply policies and identify and recommend changes as appropriate.

• Organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment.

• Communicate effectively, both orally and in writing.

• Work independently as well as collaboratively within a team environment.

• Serve as a role model and provide a high level of customer service

• Establish and maintain effective working relationships at all levels of the organization.

Educational/Previous Experience Requirements:

• Bachelor’s degree with at least three (3) years of securities related experience.

or

• An equivalent combination of education, experience and/or training approved by Human Resources.

Licenses/Certifications:

• Securities Industry Essentials (SIE) Exam may be required

Job: Operations

Primary Location: US-FL-St. Petersburg-Saint Petersburg

Other Locations: US-TN-Memphis-Memphis, US-MI-Southfield-Southfield

Organization Operations & Administration

Schedule Full-time

Job Shift Day Job

Travel No

Req ID: 2402806