Financial Services Operations Associate

3 days ago


Carpinteria, United States Azad Full time
AZAD is seeking a Financial Services Operations Associate for a full-time permanent employment position based in Carpinteria, California.

The annual salary range for this position is between $52K-$63K depending on related qualifications and experience.

Summary:

This position will be responsible for performing various financial and administrative tasks to support the operations of a financial institution or department. You will work closely with team members, clients, and other stakeholders to ensure accuracy, compliance, and efficiency in operational processes. This position plays a crucial role in the financial services industry, working within a team to ensure the smooth and efficient functioning of various financial operations. As the ideal candidate, you should possess a strong attention to detail, a commitment to accuracy, and the ability to work effectively within a team.

Essential Functions:

Review transfer and rollover forms for completeness

Review transfer requests to ensure compliance with plan portability and regulatory rules

Prepare Letter of Acceptance and send to contra firms

Track the status of incoming transfers and ensure system follow-up notes are clear and accurate

Follow up on the miscellaneous requests from contra firms requesting additional information

Work closely with the call center to ensure rep's understanding of transfer requirements

TPA Follow-up calls

Maintain Company Information list as new and updated information arises.

Track, enter and manage Cost Basis information for in kind transfers

Process daily investments into client accounts

Request employer ACH debits and wires

Process ACHs and wires

Log and audit daily holds and returns

Responsible for reviewing, responding, and completing research requests and service requests

Update Standard Operating Procedures for manager review

Adhere to all timing standards, policies and procedures

Work on special projects as assigned by the Manager

Minimum Qualifications:

High School Diploma required,

Bachelor's degree in Finance, Accounting, Business Administration, or related field (or equivalent work experience) a major plus.

Previous experience of two plus years in financial services or operations role.

FINRA Series SIE, 99 highly desired or encouraged.

Preferred:

FINRA Series SIE, 99 highly desired or encouraged.

Job Requirements

  • Carpinteria, United States Azad Full time

    AZAD is seeking a Financial Services Operations Associate for a full-time permanent employment position based in Carpinteria, California. The annual salary range for this position is between $52K-$63K depending on related qualifications and experience. Summary:This position will be responsible for performing various financial and administrative tasks to...


  • Carpinteria, United States Azad Full time

    AZAD is seeking a Financial Services Operations Associate for a full-time permanent employment position based in Carpinteria, California. The annual salary range for this position is between $52K-$63K depending on related qualifications and experience. Summary:This position will be responsible for performing various financial and administrative tasks to...


  • Carpinteria, United States Azad Full time

    AZAD is seeking a Financial Services Operations Associate for a full-time permanent employment position based in Carpinteria, California. The annual salary range for this position is between $52K-$63K depending on related qualifications and experience. Summary: This position will be responsible for performing various financial and administrative tasks to...

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