Broker Dealer Operations Representative

Allworth Financial (www.allworthfinancial.com) is an independent investment financial advisory firm that specializes in retirement planning, investment advising, and 401(k) management with a direct approach to financial planning. Allworth Financial delivers long- and short-term investment planning solutions and advice to help clients achieve their goals and plan strategically for retirement.

Allworth Financial is a high growth, private equity backed, multi branch Registered Investment Advisor. Founded in Sacramento, California, in 1993 Allworth is primarily a fee-based, employee-centric fiduciary advisory firm, that prides itself on emphasizing client well-being and education. The business is a multi-billion dollar firm and is on track for continued growth through both acquisitions and strong organic growth. Allworth is considered a great place to work and was once again given the prestigious “Circle of Excellence” award by the National Business Research Institute for employee and client satisfaction in 2021, placing it among the best-loved brands in America. Allworth Financial was also recognized as a Barron's Top 40 RIA in 2022.

SUMMARY 

Our Broker Dealer Operations Department is responsible for management in achieving operational excellence in several back-office functions, execution of regulatory requirements, and servicing accounts with a focus on broker dealer activities.  Overall, Broker Dealer Operations ensure firm compliance with broker dealer books and records compliance, and the execution of brokerage account services.

The Broker Dealer Operations Representative is responsible for working closely with Broker Dealer Operations Manager in achieving operational excellence in several broker dealer functions, provides quality paperwork preparation services and timely processing in contribution to an exceptional Allworth client experience.  This is an excellent opportunity for a professional who loves serving others, has a proven track record of extreme attention to detail, and wants to work in a fast-paced, challenging, team-oriented, and rewarding environment.

This is a full-time, non-exempt role based out of Cincinnati, OH; this candidate will be required to be in the office all five days of the work week during their training period, with the potential of moving into a Hybrid work schedule.

The base salary range for this role is $50,000-$62,000 per year. In addition, we also provide generous benefits to all our full-time employees. 

 

RESPONSIBILITIES

• Fulfill client requests by prioritizing and completing tasks within a queue
• Work with other teammates to ensure proper assignment and completion of requested tasks
• Create and process paperwork for all client requests, including but limited to new accounts, transfers, and account maintenance forms
• Facilitate the delivery of paperwork to the client through DocuSign, mail/overnight, or email to Advisor for meetings
• Reviews and quality checks completed paperwork to limit errors
• Submits and processes paperwork directly to the appropriate direct business companies
• Follows up and provides status updates through completion of the task assigned
• Working directly with custodians to process work in a timely and accurate manner
• Collaborate with Client Relationship Specialist or Advisors to obtain missing client data
• Focuses on quality and accuracy of work
• Suggesting and implementing process improvements to your manager
• Consistently demonstrating Allworth’s guiding principles

 

QUALIFICATIONS

• Series 6 license preferred
• Passion for excellent service and client satisfaction
• Excellent verbal and written communication skills
• Wealth Management industry and support service experience
• Knowledge of Mutual Funds, Variable Annuities and 529 Plans.
• Strict attention to detail
• Ability to multi-task and prioritize work daily
• Strong organizational, problem-solving, and analytical skills
• Strong team player and approachable
• High degree of professionalism
• Proficient with Microsoft Office applications as well as Client Relationship Management (CRM) and Document Management workflow systems
• Highschool Diploma and GED required 

BENEFITS

We value our associates’ time and effort. Our commitment to your success is enhanced by our competitive base pay and an extensive benefits package, including:

• Medical: Blue Shield (HMO, PPOs and HDHP with HSA) plans and Kaiser (HMO) plans for California associates
• Dental insurance with MetLife
• Vision insurance with VSP
• Optional supplemental benefits