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Tier-1 brand, metro location, mid-level generalist operations role create high applicant competition.
Requires wealth-management process knowledge and regulatory familiarity, so cross-industry fit is limited.
Explicit 3-5 years BFSI experience, regulatory knowledge, and supervision requirements enforce strict shortlisting.
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Process and provide customer service for new and existing business paperwork including applications, maintenance items, transfers, and supplemental accounting documents.
Review broker dealer new business submissions for accuracy and completeness, identifying Not In Good Order (NIGO) cases for resolution.
Input client data into back-office systems accurately and resolve operational issues using Root Cause Problem Solving tools while meeting productivity and quality standards.
3-5 years of financial services industry experience or similar process support role.
Strong organizational, analytical, and data entry skills.
Ability to work in a fast-paced environment with strict deadlines and flexibility to work shifts including night shifts.
Education preferred: MBA or equivalent business experience; Knowledge of FINRA/SEC rules preferred but not mandatory.
Experienced in financial services operations with strong process accuracy and problem-solving skills.
Comfortable working in shift-based environments, including night shifts during initial training and regularly as business needs arise.
Familiarity with back-office systems and ability to handle compliance-related tasks under supervision requirements in Wealth Management environments.