Financial Services Specialist
5 days ago
Insigneo Securities LLC is seeking a highly skilled Financial Services Specialist to join our team. This role will be responsible for the review of new accounts, account maintenance and asset movement processes.
Main Responsibilities:
- Conduct thorough reviews of account opening documentation to ensure compliance with regulatory guidelines and internal policies.
- Evaluate the plausibility and reasonability of Service Level Agreements (SLAs) and financial information.
- Maintain accurate records of custodian requirements for account openings and respond promptly to client inquiries.
- Inform clients of any documentation deficiencies and provide guidance on required documentation.
- Monitor pending or missing information from customers and prepare status reports as needed.
- Process client requests, including changes to personal information, financial data, asset movements, and additional services offered by the custodian.
- Support clients with general inquiries and provide ongoing training and information sharing.
- Serve as liaison between the custodian and clients/advisors.
Requirements:
- Bachelor's degree in Business Administration or a related field preferred.
- A minimum of five years of experience in the industry is required.
- FINRA Series 99 or 7 licenses are desirable.
- Previous experience using NetX360 is an advantage.
Desired Skills:
- Ability to work under pressure and meet deadlines.
- Capacity to handle high volumes of transactions in a fast-paced environment.
- Strong analytical and problem-solving skills.
- Attention to detail and organizational abilities.
- Self-motivation and excellent written and verbal communication skills.
Salary Estimate: $65,000 - $85,000 per year, depending on experience and qualifications.
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