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Advisor Support Specialist

Company: Grove Point Financial
Location: Rockville
Posted on: June 5, 2021

Job Description:

Advisor Support Specialist

SUMMARY:

Acts in a support role in the Advisor Support Team structure. The Advisor Support Specialist is responsible for the processing of all business including but not limited to direct business, brokerage accounts, ACATs, and cashiering requests.   The purpose of the position is to provide excellent customer service to our advisors and to review all business for licensing and completeness before it is submitted to an Advisor Supervision Principal for review.

ESSENTIAL DUTIES AND RESPONSIBILITIES:

  • Utilize Docupace workflow to process brokerage account service requests, which include but are not limited to new account opening, account maintenance, Corestone/Resource checking, entering W-9s, Select Link, PES, ACATs  and money market changes.
  • Utilize Docupace workflow to process direct business including but not limited to Mutual Funds, Variable Annuities, Equity Indexed Annuities, Alternative Investments, and Financial Plans.
  • Process Asset Movement requests
    • Asset movement requests include but are not limited to journals, ACH requests, check disbursements, IRA distributions, RMD requests, Fed Fund wires, incoming certificates, dividend changes, processing nontransferable securities, deposit checks.
  • Identify and take appropriate action to correct all not in good order documents.
  • Confirm that appropriate documentation is on file for each transaction.
  • Process account transfers, which include incoming and outgoing transfers with Contra Firms.
  • Directly communicates with Financial Professionals, their assistants, and clients via telephone and email.
  • Contact representatives and/or their assistants by phone or email when paperwork is not in good order.
  • Directly communicates with Pershing for client and rep questions regarding account setup, changes, and follow-up.
  • Provide Docupace and Onboard system support to Financial Professionals and their assistants.
  • Works with clients and Financial Professionals to unlock NetX360 and NetX Investor access and assist them with navigational issues.
  • Monitors status of documents submitted to Pershing for approval.
  • Prepare and maintain various Microsoft Excel spreadsheet logs.
  • Acts as front-line support for inquiries from field producers.
    • Log inquiry correspondence through Salesforce. 
    • Inquiries requiring substantive research will be escalated to the Team Lead/Manager. 
    • Response time for inquiries will be same day with an expected resolution time of one business day.
  • Participate in various project, research and department initiatives as needed.

KNOWLEDGE, SKILLS, AND/OR ABILITIES

  • Ability to multi-task with strong attention to detail.
  • Strong interpersonal and organizational skills.
  • Ability to work in a fast-paced environment with strict deadlines.
  • Proven exceptional customer service skills.
  • Working knowledge and proficiency in the use of Microsoft Office.
  • Skilled in utilizing information in a data base.
  • Strong listening skills and ability to stay focused.
  • Excellent writing and oral communication skills.
  • Time management skills required.
  • Accuracy and attention to detail.
  • Excellent customer service skills.
  • Previous cashiering and operations experience preferred.
  • Microsoft Office Suite competency required.
  • Ability to deal with conflict and challenging confrontations.
  • Ability to work within a fast paced team environment that requires strong collaboration among members 

EDUCATION AND/OR EXPERIENCE

  • Associates of Arts degree desired but not required.
  • Banking Experience desired.
  • Previous Pershing NetX360 experience desired.
  • Possess a positive demeanor, sound judgment and discretion.
  • Demonstrate attention to detail, reading comprehension, and basic math skills.

PHYSICAL DEMAND

Must have mobility to attend meetings with other team members and be able to travel when necessary.  Employee may be required to lift and/or move up to 25 pounds. Specific vision abilities required by this job include close vision. While performing the duties of this job, the employee is regularly required to sit; finger dexterity is required for computer use.

 

The above position description is not intended to be an all-inclusive list of duties and standards of the position. Other instructions and related duties may be assigned by their manager.

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Keywords: Grove Point Financial, Rockville , Advisor Support Specialist, Other , Rockville, Maryland

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