Brokerage Operations Specialist, Asset Advisors, South Bend, IN

1st Source Bank - South Bend, IN

Full-time - Entry Level

South Bend, IN

251-500 employees

Credit Intermediation and Related Activities

About the position

The Brokerage Operations Specialist at 1st Source Bank plays a crucial role in supporting the Brokerage Operations Manager by assisting with client profiling, administrative tasks, and customer service functions. This position is essential for maintaining high standards of customer service and ensuring compliance with industry regulations while managing operational functions within the brokerage division.

Responsibilities

• Assist the Brokerage Operations Manager with client profiling and administrative support.
• Maintain high standards of customer service by managing customer service functions and programs.
• Resolve account and transaction problems efficiently.
• Oversee brokerage trading services, including compliance training and customer file management.
• Coordinate compliance procedures with broker-dealers.
• Support Investment/Retirement Counselors with customer service and file maintenance.
• Manage the compliance audit process for the bank and broker-dealer.
• Provide administrative support, including written correspondence and office supply maintenance.
• Attend client and team meetings as required.
• Complete annual continuing education on all licenses and designations.

Requirements

• One or more years of experience in a related field preferred.
• Proficient in Microsoft Word and Excel, with strong organizational and time management skills.
• Ability to prioritize tasks in a fast-paced environment.
• Good written and verbal communication skills.
• Ability to work collaboratively with different departments.

Nice-to-haves

• Knowledge of financial calculators.
• Experience with compliance training and audit processes.

Benefits

• Health insurance
• 401k retirement plan
• Paid holidays
• Professional development opportunities