Thursday, January 31, 2013

Dealer Operations Representative - Chicago

Title:  Dealer Operations Representative (0570-009-111)
Location: Chicago, IL
Compensation: Commensurate with Experience

Summary:
Delivers and provides support to dealer back offices, associates, investors and representatives of the investing community.  This position provides accurate, timely report review, transaction processing, quality assurance, written communications, VIP servicing and project support on behalf of the customers, as well as internal departments.

Responsibilities:
Handle of inbound calls, transaction processing and the dissemination of all pertinent fund, service and product information.
Review and processing of daily reports
Provide daily estimates of applicable trades
Work with the client’s companies to ensure quality service to VIP customers.
Provide special dealer reporting monthly, quarterly, year-end and ad hoc
Communicate new funds, products and policy changes to dealers as well as contribute to the quarterly newsletter to back offices.
Perform quality review of transactions for back offices as well as department processes
Monitor the faxes and mail to ensure prompt delivery of items received.
Coordinate new Fund/SERV and Networking Agreements.
Review and maintain periodic intermediary fee payments.
Participate in project work and communication of fund changes.

Requirements:
NSCC processing experience required
Ability to make good judgments on escalation of items
Experience with internet search engines and internet investigation techniques
Initiative to take on additional responsibilities when needed
Knowledge of the company's business and industry
Leadership skills
Skills to analyze reports/data to reach reasonable conclusions on shareholder identity and transactions
Knowledge of USA Patriot Act, Anti-Money Laundering regulations, privacy laws, and fraud trends
Experience with Microsoft Access, databases, and report writers
2 plus years in the financial services industry
Strong knowledge of the mutual fund industry and its regulations
Strong understanding of shareholder and broker community
Strong interpersonal, oral and written communication skills, including the ability to provide constructive feedback to direct reports
Series 6 license within 8 months and Series 63 within 11 months of hire required
College Degree or equivalent work experience required

If you are interested in this opening, please email us your resume as an MS Word attachment.
Thank you,
Emily Andrews
BCI - Financial Services Recruiting
312-460-8111 x106
Emily@brokerageconsultants.com

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