Carpinteria based Financial Services Firm is seeking an Financial Services Associate to perform various financial and administrative tasks to support the operations of various departments.
Monday-Friday 8:00am-5:00pm
$52,000-$63,000/year + Benefits
Responsibilities:
Work closely with team members, clients, and other stakeholders to ensure accuracy, compliance, and efficiency in operational processes.
Execute, review, and reconcile financial operations transactions, which may include paperwork processing, timely investments, and fund transfers.
Ensure accuracy and completeness of transactions and resolve discrepancies promptly.
Review transfer and rollover forms for completeness.
Review transfer requests to ensure compliance with plan portability and regulatory rules.
Prepare Letter of Acceptance and send to contra firms.
Track the status of incoming transfers and ensure system follow-up notes are clear and accurate.
Follow up on the miscellaneous requests from contra firms requesting additional information.
Work closely with the call center to ensure rep’s understanding of transfer requirements.
Maintain Company Information list as new and updated information arises.
Track, enter and manage Cost Basis information for in kind transfers.
Process daily investments into client accounts.
Request employer ACH debits and wires. Process ACHs and wires.
Log and audit daily holds and returns.
Responsible for reviewing, responding, and completing research requests and service requests.
Update Standard Operating Procedures for manager review.
Adhere to all timing standards, policies and procedures.
Qualifications:
HS Diploma or GED
2+ years of experience in a financial services, processing or operations
High volume data processing and reconciling
Strong Excel skills
Must be willing to obtain Securities Industry Exam (SIE) and Series 99 within 12 months of employment
