Responsibilities
- Oversee transaction processing for cashiering, advisory operations, and financial planning platforms including Envestnet
- Respond to inquiries from financial professionals and field offices with timely and accurate resolutions
- Identify and execute process enhancements to improve service quality and efficiency
- Work jointly with internal departments and external partners to address escalated client issues
- Complete all mandatory regulatory and role-specific training programs successfully
- Manage client and advisor communications via email and phone, ranging from routine to complex matters
- Take accountability for client interactions, ensuring high-quality service and appropriate escalation of complicated cases
- Sustain regular contact with field partners using phone, email, and in-person meetings
- Meet or exceed established service level agreements and individual or team performance metrics
- Process quarterly billing cycles and financial planning-related fees accurately and on schedule
- Offer support for special projects as required by leadership or operational needs
- Follow all organizational and site-specific policies and procedures without exception
- Stay informed about evolving industry standards, regulations, and professional best practices
- Ensure ongoing compliance with required training and certification timelines
- Carry out additional tasks as directed by management
- Show dedication to AI proficiency by integrating AI tools to strengthen performance, decision-making, and innovation
Requirements
- In-depth expertise with Pershing NetX, Advice Pay, and Envestnet systems
- Strong analytical thinking, organizational capabilities, and time management
- Exceptional customer service and clear communication skills
- Capable of balancing multiple tasks and working autonomously
- High level of precision and professionalism when managing escalated situations
- Team-oriented with flexibility to adapt in a regulated financial setting
- Bachelor's degree preferred; equivalent experience accepted
- SIE and S99 licenses required, or must be obtained within 12 months of hire
- 3 to 5 years of operations experience in a broker/dealer firm
- Solid grasp of financial services industry practices and regulations
- Proven experience assisting financial professionals and resolving intricate issues
Nice to Have
- Possession of S7 and S24 licenses
Other
- Accepts ownership of interaction and provide a high caliber of service and follow through escalating complex issues as appropriate
- Maintain consistent communication with field partners via phone, email and in person
- Adheres to service level of agreement (SLA) and individual/ team metrics
- Processing of quarterly billing and financial planning fees
- Provide project level support as needed
- Complies with all company and site policies and procedures
- Remains current in profession and industry trends
- Successfully completes regulatory and job training requirements
- Performs other duties as assigned
- Demonstrates a commitment to AI fluency by embracing AI tools and technologies to enhance individual and team performance, decision-making, and innovation
