BCI - Brokerage Consultants Inc
Operations Representative (Broker Services)
BCI - Brokerage Consultants Inc, Lisle, Illinois, United States, 60532
Operations Representative (Broker Services)
| Western Suburb of Chicago (Hybrid)
The main duty of the Operations Representative (Broker Services) is to support the management of the Broker Services Department. This department is tasked with developing, communicating, and implementing strategies, policies, procedures, and systems to facilitate operational and compliance support for the firm's representatives.
Responsibilities: Review daily/weekly/monthly clearing reports to ensure compliance with the firm and industry regulations Support financial consultants, including direct communication with retail clients Address and manage retail client inquiries and requests promptly, including processing transactional activities Act as a liaison with external organizations, such as NFS, which provides clearing services to the firm Investigate trade-related issues/commission inquiries/general representative concerns, ensuring timely resolution Process paperwork for client requests, including new accounts, transfers, and account maintenance forms Facilitate the delivery of documentation to clients via DocuSign/mail/overnight services/email Assist in the registration process for the firm and reps, including managing securities licensing requirements Coordinate the distribution of year-end renewal materials and process all year-end renewals via CRD Monitor advertising materials and customer correspondence for compliance with regulatory guidelines Support the firm's Continuing Education program and various certifications Assist in responding to regulatory inquiries/customer complaints/regulatory examinations/other emerging issues Work closely with the CCO in disseminating company policies/procedures/objectives to financial consultants Coordinate with the CCO in monitoring advisory clients, reports, and regulatory compliance
Requirements: Bachelor's degree 2+ years of experience in the Brokerage industry Series 7 required; Series 24 and/or Series 4 a plus Communicate effectively at all levels including client interaction Prioritize and multi-task with a high degree of accuracy Experience with National Financial Services (NFS) Wealthscape and FBSI platforms a plus
| Western Suburb of Chicago (Hybrid)
The main duty of the Operations Representative (Broker Services) is to support the management of the Broker Services Department. This department is tasked with developing, communicating, and implementing strategies, policies, procedures, and systems to facilitate operational and compliance support for the firm's representatives.
Responsibilities: Review daily/weekly/monthly clearing reports to ensure compliance with the firm and industry regulations Support financial consultants, including direct communication with retail clients Address and manage retail client inquiries and requests promptly, including processing transactional activities Act as a liaison with external organizations, such as NFS, which provides clearing services to the firm Investigate trade-related issues/commission inquiries/general representative concerns, ensuring timely resolution Process paperwork for client requests, including new accounts, transfers, and account maintenance forms Facilitate the delivery of documentation to clients via DocuSign/mail/overnight services/email Assist in the registration process for the firm and reps, including managing securities licensing requirements Coordinate the distribution of year-end renewal materials and process all year-end renewals via CRD Monitor advertising materials and customer correspondence for compliance with regulatory guidelines Support the firm's Continuing Education program and various certifications Assist in responding to regulatory inquiries/customer complaints/regulatory examinations/other emerging issues Work closely with the CCO in disseminating company policies/procedures/objectives to financial consultants Coordinate with the CCO in monitoring advisory clients, reports, and regulatory compliance
Requirements: Bachelor's degree 2+ years of experience in the Brokerage industry Series 7 required; Series 24 and/or Series 4 a plus Communicate effectively at all levels including client interaction Prioritize and multi-task with a high degree of accuracy Experience with National Financial Services (NFS) Wealthscape and FBSI platforms a plus