Senior Complex Operations Associate

Job Summary

Job Description

What is the opportunity?

As a Senior Complex Operations Associate, you will be responsible for the execution of all complex operations activities including, but not limited to, the entering of client orders, the acceptance and disbursement of clients’ funds and securities and any other tasks that pertain to the effective functioning of the complex’ cage operations, as well as the complex as a whole. You will also be responsible for independently researching and resolving complex operational problems or issues.

At RBC Wealth Management, your career progression matters to us. We offer training, development and learning resources so you continue to grow your career in a way that matters to you. 

What will you do?

• Facilitate the timely correction of all trade-related errors and cancel/rebills in accordance with complex main office, firm and regulatory policies and procedures. Ensure that appropriate management approval is obtained and that all appropriate documentation is kept on file.
• Accurately record all checks received from clients and ensure that they are credited to the proper accounts.  Transmit all checks received for deposit to Minneapolis on a daily basis. Promptly and accurately notify the respective FA and/or Associate of all checks received from their clients.
• Accurately record all securities and/or coupons received from clients and ensure that they are credited to the proper accounts. Transmit all required information and documentation as it relates to the deposited securities (e.g., signatures, cusip numbers, legal documents, etc.) to Minneapolis on a daily basis.
• Perform general office responsibilities including opening & distributing mail, stamping outgoing mail, sending and receiving faxes, and maintaining correspondence & all operations related files as required by complex main office and firm policies and procedures.
• Enter all syndicate tickets by firm deadline. Ensure that they are filled out completely and have the required documentation on file. Obtain the appropriate management approval.

What do you need to succeed?

Must-have

• Series 7 and Series 66 (or 63/65)
• 3+ years of industry experience
• Advanced computer skills (including Microsoft Office)
• Detail orientated, good math and organizational skills
• Able to manage multiple demands and competing priorities

 Nice-to-have

• Associate’s degree or Bachelor’s degree
• Ability to work independently in a fast-paced and deadline-oriented environment
• Strong verbal and written communication and organization skills

What’s in it for you?

We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.

• A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation, commissions, and stock where applicable
• Leaders who support your development through coaching and managing opportunities
• Ability to make a difference and lasting impact
• Work in a dynamic, collaborative, progressive, and high-performing team
• Flexible work/life balance options
• Opportunities to do challenging work
• Opportunities to take on progressively greater accountabilities  
• Access to a variety of job opportunities across business

The good-faith expected salary range for the above position is $45,000 - $70,000 depending on factors including but not limited to the candidate’s experience, skills, registration status; market conditions; and business needs.  This salary range does not include other elements of total compensation, including a discretionary bonus and benefits such as a 401(k) program with company-matching contributions; health, dental, vision, life and disability insurance; and paid time-off plan.

RBC’s compensation philosophy and principles recognize the importance of a highly qualified global workforce and plays a critical role in attracting, engaging and retaining talent that:

• Drives RBC’s high performance culture
• Enables collective achievement of our strategic goals
• Generates sustainable shareholder returns and above market shareholder value

Job Skills

Customer Interactions, Customer Service, Customer Service Administration, Customer Support Operations, Followership, Interpersonal Relationships, Office Tools, Problem Management, Self-Service and Virtual Call Centers, T