Job description
Your Opportunity
An innovative culture and taking care of our clients is at the heart of everything we do. We transorm our business so that they can achieve success. We are enbables... for our clients, for each other, andfor the communivites where we live and work. We build a culture that reflects our core values, fosters collavoration and courage, and allows us to execute and ininovate as a team.
What you are good at
Responsible for answering incoming calls from contra firms and internal associates concerning status updates and resolutions for transfer items that are currently in process. On average, the associate will handle 40-60 calls per day, depending on market conditions.- Responsible for reviewing, validation and submission of transfers submitted through Automated Customer Account Transfer System (ACATS)
- Review daily reports and compare them to account activity to determine if any business partner resolution is needed.
What you have
Review and interpret anti-money laundering practices and FINRA rules (FINRA Rule 11870)- Verify client data that would preclude the transfer from occurring.
- Move large sums of monies an/or securities out of the firm, to the tune of an aggregate average value of approximately $65 million daily.
- Communicate via email or phone to resolve transfer issues and inquiries with contra parties.
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