Brokerage Operations Specialist I

2 days ago

Tulsa, United States BOK Financial Full time

Req ID:75740

Location:Tulsa -TUL

Areas of Interest:Brokerage Services; Wealth Management; Wealth Management Operations

Pay Transparency Salary Range:Not Available

Application Deadline:12/30/2024

BOK Financial Corporation Group includes BOKF, NA; BOK Financial Securities, Inc. and BOK Financial Private Wealth, Inc. BOKF, NA operates TransFund and Cavanal Hill Investment Management, Inc. BOKF, NA operates banking divisions: Bank of Albuquerque; Bank of Oklahoma; Bank of Texas and BOK Financial.

Bonus Type Discretionary Summary

If you are looking for a job that combines a passion for innovation, an opportunity for growth, and a culture of teamwork, then you've come to the right place. We have an exciting opportunity awaiting someone like you

Job Description

The Brokerage Operations Specialist I will specialize in one of two departments: Asset Movement or New Accounts, in support of BOK Financial Securities accounts within NetX360. These responsibilities include, but are not limited to, level II approval of New Account opening, money movement processing/approval, account maintenance processing/approval, document review/approval. Works closely with Financial Advisors, Client Support Specialists, Pershing, and other team members to ensure timely and accurate processing.

Team Culture

We achieve more together by being involved, committed, and collaborative. We respect, honor and praise one another for a job well done. We celebrate each other's wins, big and small.

How You'll Spend Your Time

New Accounts:

  • Level II Approval- You will monitor and approve new customer accounts as to information accuracy and completeness, categorization of account/customer type, review of documents submitted, and final assessment/approval of documentation completion.Responsible for ensuring customer information and document requirements are met in regards to KYC, CIP, AML, FINRA, and BOKFS rules.Manages and facilitates new account opening requests.
  • You will monitor Account Maintenance and AOM Document Processing Queues for documentation completion and information accuracy.

Asset Movement:

  • Money Movement/Cashiering- You will monitor and approve money movement requests as to information accuracy and completeness, categorization of account/customer type, review of documents submitted and final assessment/approval of account documentation completion. Responsible for ensuring customer information and document requirements are met in regards to KYC, CIP, AML SEC, FINRA and BOKFS rules.
  • You will monitor Asset Movement work queues for review/approval of Account Transfers, Journals, Periodic Instructions, Standing Instructions, ACH, Check, and Fed Fund requests. Monitor Asset Movement related Document Processing Queues.
  • You will manage problem resolution by acting as a liaison between Financial Consultants and Pershing. Interprets and communicates NIGO (not in good order) requests to Financial Consultants and Sales Assistants. Assists with inquiries and problem resolution.
  • You may perform other duties as assigned.
Education & Experience Requirements

This level of knowledge is normally acquired through completion of a Bachelor's Degree, or 1-2 years if investment/banking experience, or 2-5 years of work related experience.

FINRA Licensing: SIE and Series 99 required (or ability to obtain within 180 days of hire)

  • Strong attention to detail; ability to complete tasks in a timely and efficient manner, focusing on detailed execution and accuracy.
  • Excellent time management skills; ability to prioritize and execute high volumes of workload
  • Basic PC and Software application experience including Excel, Microsoft Word, and Adobe
  • Excellent communication and interpersonal skills, including oral and written communication skills, and professional etiquette.
  • Must have the ability to handle difficult conversations and communicate complex policies and guidelines clearly and concisely.
  • Excels when working as a team, proven ability to work collaboratively with others
  • Experience with the following applications ideal, but not required: NetX360, Morningstar, MoneyGuide Pro, Salesforce, TPSS

BOK Financial Corporation Groupis a stable and financially strong organization that provides excellent training and development to support building the long term careers of employees.With passion, skill and partnership you can make an impact on the success of the bank, customers and your own career
Apply todayand take the first step towards your next career opportunity

The companies in BOK Financial Corporation Group are equal opportunity employers. We are committed to providing equal employment opportunities for training, compensation, transfer, promotion and other aspects of employment for all qualified applicants and employees without regard to sex, race, color, religion, national origin, age, disability, pregnancy status, sexual orientation, genetic information or veteran status.

Please contactrecruiting_coordinators@bokf.comwith any questions.

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