Registered Investment Advisor Operations Trader
We currently handle more than $24 Billion in customer assets, with nearly 4600 registered representatives serving clients in over 1000 branch offices nationwide. We are currently seeking qualified candidates for our open Registered Investment Advisor Operations Trader position.
Responsibilities:
- Establishes the proper investment model and/or sleeves associated with each client account based on the IPS statement signed by the client.
- Effects Investment Model/Strategy changes and reallocations
- Monitors for and effects trading associated with FolioFn Sleeve models
- Enters and maintains Advisory fees/schedules on multiple Advisory account platforms/systems (Envestnet, Pershing)
- Calculates rebates and handles other escalated billing issues.
- Work with Compliance, Operations, Technology and outside vendors to resolve issues and ensure appropriate business processes
- Assists IARs in generating client proposals and completing
- Assists IARs in BTR processes available
- Assists Advisory Services Department (RIA) on operational issues
- Answers incoming inquiries and places outgoing calls to registered reps, outside vendors and other home office personnel
- Reviews and Monitors Pershing reports/functions such as IFA Report, Work Corner
- Performs data entry on Caesar back office system for all accounts
- Assists with escalated issues
- Train new/existing associates on advisory and brokerage related issues
- Maintains the department Operations Manual
- Obtains familiarity with FINRA/SEC regulations and industry practices regarding document requirements and all account registrations
- Maintains a minimal error ratio (2%)
Required Qualifications:
- Series 7 License
- Three years RIA and Broker Dealer Industry experience
- The ability to be work independently and proactively manage work load
- Excellent organizational and prioritization skills
- Proficient and accurate data entry skills
- PC Proficiency (MS Office, Outlook)
- Excellent written and verbal communication skills
- Professional business etiquette and demeanor
- Strong attention to detail
- The ability process a high volume of work
- The ability to meet multiple deadlines in a fast paced environment
- Excellent interpersonal and customer service skills
Preferred Qualifications:
- Bachelor’s degree
- Understanding of B/D back office systems and imaging systems
- Familiarity with insurance, mutual funds and equity products
Pay, Benefits, and Work Schedule:
FLSA status: Non-Exempt
Benefit eligible employees qualify for the AEGON USA, Inc. benefit package, which is a comprehensive package including optional Health, Dental, Vision, Flexible Spending Accounts, 401k, and more Additional details may be provided upon selection for interview. Transamerica’s pay ranges are competitive and are based on the external labor market. An annual bonus opportunity may be available to regular employees. Note: Job offer amounts are commensurate with applicant qualifications, level of experience and other compensable factors and are determined by hiring supervisors/managers. EOE
How to Apply:
To apply for this position, please submit your resume/online application to www.transamerica.com. (Job ID#130000UP)
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