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Investments Operations Specialist

Pittsburgh, PA
TITLE: Investment Operations Specialist
This position in Pittsburgh, PA directly supports the Agency Compliance Officer in the day to day monitoring and review of incoming and outgoing paperwork, client communication, and check processing, as well as providing on-site assistance and support to Registered Representatives and management personnel as needed.
  • Conducts preliminary review of paperwork submitted by Registered Representatives prior to submission to Agency Compliance Officer (ACO)
  • Monitors open work items via NetX360 and keeps Registered Representatives up-to-date with respect to all open actions
  • Processes new account opening, servicing requests, and trade corrections as needed 
  • Collects incoming and outgoing client communications; monitors and distributes mail to Registered Representatives
  • Proactively monitors social media sites for required edits and certifications
  • Responds to questions from Registered Representatives and their Assistants, and works to facilitate resolutions with Broker/Dealer
  • Obtains signature guarantees when needed
  • Associate’s degree minimum required
  • Three to five years of equivalent experience, preferably in the financial services industry with customer service focus, may be substituted for education
  • Computer literate in Microsoft Office including Excel and Word
  • NetX360 experience a plus
  • Excellent organizational skills with the ability to manage various tasks, be self-directed, and quickly develop a full understanding of duties and responsibilities
  • Excellent verbal and written communication skills and analytical ability to work effectively with clients, Registered Representatives, managers, and Broker/Dealer to resolve problems.
  • Securities license not required
  • Self-starter – can work alone without supervision
  • Task driven – will not stop until the work is accomplished
  • Great communicator – both internally and externally
  • Excellent at follow up and accomplishing tasks when scheduled

Pamela J. Kortekamp
Lifetime Recruiting Strategies
"Developing Relationships that last a Lifetime"
Please contact me with any questions:
(w) 513-753-4926


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