Under general supervision, provides Brokerage Operations services including the review and acceptance of new account applications, coordinating new business processes across internal departments, processing account updates, and processing asset movement tasks.
Duties, Responsibilities & Essential Functions:
1. Review new applications, complete setup of new accounts, process
contributions received, and perform suitability review of new accounts
as needed for the Brokerage line of business.
2. Perform daily reviews of outstanding applications and customer
requests to ensure timely processing and positive customer experience.
3. Provide ongoing updates to internal and external clients regarding
the status of items.
4. Assist with recurring audits, reporting, and projects on a
5. Draft correspondence with customers as needed in the course of
6. Coordinate procedure updates for efficiency, accuracy, and
completeness with management.
7. Support all aspects of the Self-Directed Brokerage processing, as
Bachelor's Degree in Business, or equivalent experience
Registrations / Certifications / Licensing Required:
FINRA 7, 24, 63 registrations required within corporate-established
FINRA fingerprinting required.Compliance reviewed date: 10/01/2017
Other Preferred Qualifications:
Minimum 1-2 years experience in financial services
Basic Microsoft Office knowledge
Excellent communication and organizational skills with strong
attention to detail
Ability to multi-task and prioritize workload in high paced
environment to complete tasks within established timelines.
Ability to collaborate and work with all levels of management and
teammates to accomplish daily deliverables with experience in managing
Must be able to work independently on operational tasks.
Works with Service, Sales, and internal business partners, as well as
Physical Requirements/Working Conditions:
Normal Office Working Conditions
At Great-West Financial and Empower Retirement, our more than 5,700 global associates are dedicated to helping customers secure their financial futures. We offer a range of retirement savings products, life insurance, annuities and investment services from offices across the country. If you’re interested in joining a company that enjoys a record of strong performance and is rich in history yet innovative, bold and transformative, then our organization is an outstanding place for you to grow and succeed. We’re an equal opportunity employer dedicated to workforce diversity. We’re also committed to providing a drug-free workplace.
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