Nexora Solutions
Overview
The Operations Specialist is a critical role in our Operations group, entrusted with supporting the end-to-end process of transferring customer accounts between financial organizations, ensuring accuracy, efficiency, and compliance with industry regulations. The ideal candidate will embody a profound sense of ownership, accountability, and expertise, ensuring that our standards of operational excellence are consistently met, especially in the area of securities processing.
Responsibilities
Core Operations: Perform day-to-day ACATS operations, emphasizing accuracy and promptness in processing transactions. Coordinate with internal teams and external brokerage firms to facilitate smooth account transfers. Monitor and resolve any issues or discrepancies that arise during the transfer process.
Customer Service: Work with and offer assistance to internal and external customers with daily incoming and outgoing ACAT and Non-ACAT requests. Ensure customer inquiries are completed in accordance with service level agreement guidelines. Serve as the primary point of contact for clients regarding ACATS inquiries and issues. Provide clear and timely updates to clients on the status of their account transfers. Address and resolve client concerns with professionalism and efficiency.
Supervisory Oversight: Review and complete supervisory oversight on a daily basis and provide updates to seniors and management. Ensure ACAT requests are processed while adhering to processing deadlines. Ensure that inquiries are responded to in a professional and timely manner, escalating issues to seniors and management when necessary. Be familiar with ACAT regulations and industry standards governing both ACAT and non-ACAT transfers. Identify documentation/processing irregularities and outline corrective measures.
Process Enhancement: Pinpoint and implement refinements to current operational workflows to boost efficiency.
Regulatory Adherence: Guarantee operations are in line with industry protocols, regulatory demands, and company policies.
Stakeholder Collaboration: Partner with cross-functional teams, external entities, and clients to clarify inquiries, address issues, and guarantee exceptional service delivery.
Qualifications
Bachelor’s degree in Finance, Economics, Business, or a related field or equivalent prior experience.
3+ years of prior experience in broker-dealer operations or financial services is preferred.
Experience working with internal and external clients.
Requirements
Demonstrated ability to work collaboratively in a team setting and work independently.
Detail-oriented and focused on customer satisfaction.
Excellent analytical, problem-solving, and critical thinking skills.
Exceptional written and verbal communication skills, with the ability to present complex information clearly and concisely.
Resilience to thrive in high-pressure scenarios and address intricate operational dilemmas.
Strong understanding of custody and clearing operations, financial markets, and regulatory environment.
Strong attention to detail and the ability to manage multiple priorities in a fast-paced environment.
Proficiency in Microsoft Office 365.
Compensation The compensation for this role is market competitive.
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Responsibilities
Core Operations: Perform day-to-day ACATS operations, emphasizing accuracy and promptness in processing transactions. Coordinate with internal teams and external brokerage firms to facilitate smooth account transfers. Monitor and resolve any issues or discrepancies that arise during the transfer process.
Customer Service: Work with and offer assistance to internal and external customers with daily incoming and outgoing ACAT and Non-ACAT requests. Ensure customer inquiries are completed in accordance with service level agreement guidelines. Serve as the primary point of contact for clients regarding ACATS inquiries and issues. Provide clear and timely updates to clients on the status of their account transfers. Address and resolve client concerns with professionalism and efficiency.
Supervisory Oversight: Review and complete supervisory oversight on a daily basis and provide updates to seniors and management. Ensure ACAT requests are processed while adhering to processing deadlines. Ensure that inquiries are responded to in a professional and timely manner, escalating issues to seniors and management when necessary. Be familiar with ACAT regulations and industry standards governing both ACAT and non-ACAT transfers. Identify documentation/processing irregularities and outline corrective measures.
Process Enhancement: Pinpoint and implement refinements to current operational workflows to boost efficiency.
Regulatory Adherence: Guarantee operations are in line with industry protocols, regulatory demands, and company policies.
Stakeholder Collaboration: Partner with cross-functional teams, external entities, and clients to clarify inquiries, address issues, and guarantee exceptional service delivery.
Qualifications
Bachelor’s degree in Finance, Economics, Business, or a related field or equivalent prior experience.
3+ years of prior experience in broker-dealer operations or financial services is preferred.
Experience working with internal and external clients.
Requirements
Demonstrated ability to work collaboratively in a team setting and work independently.
Detail-oriented and focused on customer satisfaction.
Excellent analytical, problem-solving, and critical thinking skills.
Exceptional written and verbal communication skills, with the ability to present complex information clearly and concisely.
Resilience to thrive in high-pressure scenarios and address intricate operational dilemmas.
Strong understanding of custody and clearing operations, financial markets, and regulatory environment.
Strong attention to detail and the ability to manage multiple priorities in a fast-paced environment.
Proficiency in Microsoft Office 365.
Compensation The compensation for this role is market competitive.
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