Sr. Advisory Services Associate

2 months ago


Dallas, United States Hilltop Securities Inc Full time

HilltopSecurities is looking to hire a Sr. Advisory Services Associate. The qualified candidate will provide seasoned (expert) level support to the Advisory Services Group which provides platforms and services to registered advisors (Private Client Group - PCG, Momentum Independent Network MIN, Correspondent Firms) who manage private portfolios for both high net worth and institutional clients. The Senior Associate is responsible for converting advisory accounts and placing trades for programs to assist advisors and sales.

Responsibilities:

  • Serves as a liaison between Advisors and numerous departments within the company
  • Assists advisors with transactional requests through a mix of inbound and outbound calls related to money movement, transaction status, and transfer of accounts
  • Manages multiple requests and takes initiative to research and resolve problems in a timely and effective manner
  • Places trades and assists advisors with Envestnet programs and platform where the Advisory Services Group does the trading
  • Places trades and assist advisors with Envestnet programs and platform
  • Processes daily trade, allocation requests and step-out notices for Premier Accounts
  • Performs periodic/as needed rebalance of ETF and Mutual Fund Advisory programs
  • Reviews and processes trade error reconciliation as they occur
  • Develops processes and guides for current and potential new Programs
  • Performs research and provides information helpful to the group and special projects as directed
  • Provides various administrative and group service support via phone, email and salesforce cases
  • Assists with resolving Billing department inquiries and transactions as needed
  • Provides assistance to the New Accounts department as needed
  • Additional duties as assigned by management

Qualifications:

  • Highschool diploma or GED. Degree preferred (business related)
  • Five (5) or more years related experience with a dually registered broker/dealer firm with practical experience in trading/billing/new accounts with Investment Advisory Services
  • Required licensure:
  • Series 7 and 63/65 or 66
  • Preferred licensure / certification:
  • CFP®
  • Demonstrated knowledge of the securities industry
  • Detail-orientated, analytical and be able to multi-task in a fast-paced environment while maintaining accurate, complete and high-quality work in a timely manner
  • Self-motivated team player and individual contributor
  • Excellent relationship building and communication skills, both oral and written
  • Proficient with Microsoft Word, Outlook and Excel


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