Retail Investment Operations Administrator

Job Description

Retail Invest Ops Admin- Op is responsible for managing and providing day-to-day coordination of a segment of Northwest's brokerage operations activities and coordinating activities with information systems and other operational units as required and resolving unusual or complex problems. Retail Invest Ops Admin- Op is also responsible for ensuring that personnel are trained, reviewing and recommending new methods and procedures to make daily operations more efficient. 
 
Essential Functions
•    Manage and provide day-to-day coordination of a segment of the Northwest's brokerage operations activities
•    Ensure that personnel are trained, reviewing, and recommending new methods and procedures to make daily operations more efficient
•    Plan and schedule activities within the area
•    Coordinate activities with information systems and other operational units as required and resolve unusual or complex problems
•    Work closely with related Financial Services personnel to ensure that their operational requirements are met
•    Oversee system problems and operating deficiencies
•    Manage departmental workload/workflow
•    Prepare statistics and analyze financial information
•    Resolve problems and customer issues
•    Provide management with financial data
•    Partner with Financial Services personnel
•    Author and initiate client correspondence
•    Monitor custodian account system functionality
•    Report exceptions in the system
•    Coordinate email market efforts through LPL system
•    Partner with outside regulatory personnel
•    Effect rep and branch changes
•    Develop communication with Financial Services personnel
•    Oversee BCP and communications efforts
•    Handle all aspects of account open paperwork, applications, NIGO track, etc.
•    Ensure exceptions are handled accordingly
•    Ensure accurate process of funds
•    Implement and maximize operating efficiencies
•    Recommend / implement improvements to procedures
•    Develop appropriate customer service standards
•    Control and minimize departmental non-payroll costs
•    Manage work hours and FTE's to control costs
•    Improve monitor and measuring systems
 
Additional Essential Functions
     Essential Functions
•    Ensure compliance with Northwest’s policies and procedures, and Federal/State regulations
•    Navigate Microsoft Office Software, computer applications, and software specific to the department in order to maximize technology tools and gain efficiency
•    Work as part of a team
•    Work with on-site equipment
 
Additional Responsibilities
•    Recommend improvements for communication within Financial Services
•    Complete special projects as they are assigned
 
Safety and Health for Supervisors with Direct Reports
•    Provide leadership and positive direction for maintaining the safety and loss prevention program
•    Actively participate in and support employee participation in the safety and loss prevention program by ensuring that employees know how to properly report a safety issue, making sure that all accidents are promptly reported to Human Resources and documented, and ensuring that prompt action is taken whenever workplace hazards are identified
•    Help implement emergency procedures
 
QUALIFICATIONS
To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
 
Preferred Education
Bachelor's Degree in Business / Finance / related degree         
 
Preferred Work Experience
3 - 5 years  operations / related experience    
2 - 6 years supervisory experience or equivalent work experience       
Experience with spreadsheets, word processing and accounting software       
 

General Employee Knowledge, Skills, and Abilities
  
•    Ability to establish effective working relationships among team members and participate in solving problems and making decisions    
•    Ability to present and express ideas and information clearly and concisely in a manner appropriate to the audience, whether oral or written    
•    Ability to actively listen to what others are saying to achieve understanding, sharing information with others and facilitating the open exchange of ideas and information  
•    Ability to establish courses of action for self to accomplish specific goals, develop and use tracking systems for monitoring own work progress, and e