Operational Support Specialist

2 weeks ago


Chicago, Illinois, United States Zacks Investment Management Full time

About Us

Zacks Investment Management is a leading firm in the financial services industry, dedicated to providing top-notch investment solutions and research. We are committed to delivering exceptional service to our clients, ensuring they have the tools and information necessary to make informed investment decisions.

Position Overview - Operations Associate

We are seeking a detail-oriented Operations Associate to enhance our operational capabilities. This role is pivotal in delivering administrative and operational support to our back office functions. Responsibilities include managing the establishment of new client accounts, providing essential account information, processing trade requests, and handling payments and deliveries. The ideal candidate will also engage in various administrative tasks, including responding to inquiries and resolving account-related issues.

Key Responsibilities

  • Facilitate the new account setup process utilizing electronic signature tools and other resources.
  • Collaborate with clients to ensure compliance with account opening protocols and required documentation.
  • Handle trade requests and manage fund transfers efficiently.
  • Act as a liaison between departments to gather information and address requests.
  • Engage in continuous professional development to improve client support services.
  • Perform administrative tasks such as managing phone communications, mailing, filing, and processing documentation.
  • Adhere to all regulatory requirements and internal policies.

Qualifications

  • A Bachelor's Degree is preferred, along with 3-5 years of experience in a broker/dealer or RIA back office environment.
  • Possession of Series 63/65 licenses or the ability to obtain them within the initial onboarding period.
  • Familiarity with brokerage or custodial technologies, including electronic signature platforms and CRM systems, is advantageous.
  • Basic understanding of Broker-Dealer and Advisory operations is beneficial.
  • Proficiency in Microsoft Excel, Word, and Outlook is required.
  • Excellent communication skills are essential.
  • Strong attention to detail is a must.
  • A willingness to learn new technology systems is necessary.
  • Ability to effectively prioritize tasks and manage workflow.


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