Senior Operations Cashiering and Advisory Specialist
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Job Description
Senior Operations Cashiering and Advisory Specialist at Penn Mutual processing BD and RIA cashiering requests. Collaborating with Operations Manager to support day-to-day operations and addressing inquiries.
Responsibilities:
- Process and provide ongoing queue management for Cashiering and Advisory Ops
- Provides ongoing support related to advisory accounts
- Recommend and facilitate process changes to continuously improve the customer experience
- Provides support for Field Office staff, Field Office support staff, and our Financial Professionals
- Takes lead in handling processing queues for the advisory platform and all cashiering queues
- Successfully completes regulatory and job training requirements
- Handles simple to complex emails or calls from our clients/ financial professionals
- Accepts ownership of interaction and provide a high caliber of service and follow through escalating complex issues as appropriate
- Communicate with the field daily, either via phone, email or in person
- Adheres to service level of agreement (SLA) and individual/ team metrics
- Handle Envestnet Billing for Quarterly fees Processing of Financial Planning Fees
- Provide dedicated support via phone and e-mail to HTK Financial Professionals and Field Management in an efficient and accurate manner
- Provide project level support as needed
- Detailed NetX and Envestnet platform knowledge
- Complies with all company and site policies and procedures
- Remains current in profession and industry trends
- Performs other duties as assigned
- Demonstrates a commitment to AI fluency by embracing AI tools and technologies to enhance individual and team performance, decision-making, and innovation
Requirements:
- Expert knowledge of Pershing NetX, Advice Pay, and Envestnet Platforms
- Bachelor's Degree Preferred or equivalent experience required
- 3-5 Years experience in a broker/dealer within operations
- FINRA SIE and Series 99 required or obtained with 12 months of hire
- Series 7 license preferred
- Knowledge and understanding of the financial services industry
Benefits:
- Flexible, hybrid approach to work
- Comprehensive suite of competitive products and services
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