Divisional Operations and Service Analyst
Rockefeller Capital Management
- New York City, NY
- $85,000 per year
- Permanent
- Full-time
- Assist the Divisional Operations Director in projects and initiatives they are involved in within the business and across the organization
- Assist with ad-hoc projects relating to transition of Advisor’s book, client engagement and marketing and remediation efforts for existing Advisors’ books
- Ensure that operational priorities are aligned with the team’s elevated client experience
- Support the Divisional Director and the team on various Private Advisor recruiting efforts and daily needs of Private Advisors on platform
- Improve and monitor internal processes, setting up internal systems, review operation reports by gathering, analyzing, and interpreting data and metrics and continually introduce process improvement measures and present suggestions
- Develop and contribute to best practices for the Business
- Assist the Office Leadership Team in the day-to-day operations as it relates to the on-boarding and continued support of Financial Advisors and their client accounts including but not limited to:
- Account opening and maintenance
- Transferring assets and money movement
- Completing investment subscription documents
- Cash management & RMDs
- Assisting with client online access
- Responding to account activity and statement inquiries
- Managing life events
- Administrative work as needed
- Provide top quality service to clients and complete administration of client accounts
- Handle operational aspects of client accounts including reporting on account holdings and investment performance, posting daily cash activity, and entering trade instructions
- Generate expense reports for submission using Concur
- Process new accounts and account maintenance, by obtaining all necessary approvals and ensuring all client documentation is returned, completed and approved
- Process all client cashiering requests (money market redemptions, wires, checks, journals, check deposits, etc.)
- Support marketing efforts by promoting client seminars and events
- Offer administrative and office management support to the team
- Prepare client correspondence, obtain necessary management approvals, and transmit
- Review daily activity and reconcile current client activity, funds transfers and previous day’s activity and trades against various clearing firm systems to ensure accuracy
- Oversee client insurance and annuities processes
- Assist in preparation of key documents, PowerPoint presentations and reports for client meetings
- Attend client meetings as necessary and present client performance
- Complete necessary filing and maintain client files
- Attend compliance and continuing education training sessions as required by regulatory agencies and the firm
- BA/BS degree
- Prior client service and/or operations experience within financial industry, or equivalent experience, preferred
- Series 7 & 66 required. Series 9 & 10 preferred, and if not, willing to obtain
- Basic understanding of investments and/or portfolio reporting and related terminology
- Highly proficient in Microsoft Office with emphasis on Excel; ability to use Excel to organize, analyze, present and report on client information; Word, Access and PowerPoint a plus
- Ability to work well independently and as a part of a team in a fast paced environment
- Ability to multi-task and be able to reassess priorities as situations arise
- Detail-oriented and attention to accuracy and meeting deadlines
- Excellent interpersonal skills
- Ability to exercise discretion with confidential matters
- Strong communication skills, both written and verbal
- Ability to express ideas clearly and concisely