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Investment Brokerage Operations Representative

Company: BB&T Suntrust Now Truist
Location: Charlotte
Posted on: February 16, 2020

Job Description:

Req ID: R0023022Specific information related to the position is outlined below. To apply, click on the button above. You will be required to create an account (or sign in with an existing account). Your account will provide you access to your application information.Need Help?Should you have a disability and need assistance with the application process, please request a reasonable accommodation by emailing Accessibilityor by calling 877-891-2510. This email inbox is monitored for reasonable accommodation requests only. Any other correspondence will not receive a response.Regular or Temporary:RegularLanguage Fluency: English (Required)Work Shift:1st shift (United States of America)Please review the following job description:Provide operational support for the brokerage department including opening new accounts, initiating transfers, processing stock certificates, establishing online trading and other various operational duties.Essential Duties and Responsibilities:Following is a summary of the essential functions for this job. Other duties may be performed, both major and minor, which are not mentioned below. Specific activities may change from time to time.1. Review and open all brokerage accounts and ensure that the required supporting documentation has been received. Follow up on missing documentation as needed.2. Open Asset Management Accounts (AMA) and AMA bank accounts and mail the client the proper fulfillment package. Order checks and check cards as requested by the client.3. Verify bank accounts and establish Automated Clearing House (ACH) instructions to automatically debit/credit BB&T Bank accounts as requested by clients and Investment Counselors. For unlike brokerage and bank registrations, request the proper documentation and follow up to ensure it is received.4. Initiate Automated Customer Account Transfer (ACAT), Non-ACAT and Direct Registration System (DRS) transfers for all brokerage accounts.5. Review legal documentation and process internal transfers between brokerage accounts. Follow up on missing documentation as needed. Notify Investment Counselor or Trader once the transfer is complete.6. Process Roth IRA Conversions and Recharacterizations.7. Coordinate with Trader or Investment Counselor to liquidate holdings for outgoing transfers, as needed.8. Review the trade blotter after trade date to ensure each trade has corresponding ticket. Pay special attention to limit orders, online trades, mutual fund systematic trades, option orders and Good Til Canceled (GTC) orders.9. Responsible for filing any GTC orders and ensuring that the client has been notified of any executions.10. Receive, log and process all stock certificates. Then, send to our clearing firm the same day as it is received.11. Monitor the daily Tech Short, weekly Pending Papers Report, quarterly GTC Report and quarterly custodial DOB review.12. Establish online trading and online access for brokerage clients. Restrict access based on compliance and business rules.13. Coordinate, print and mail notices regarding class action lawsuits based on clients holdings. Communicate with a third party vendor to request litigation notices for clients.14. Freeze and close accounts as requested by the client, compliance or based on legal or business rules.15. Process accountrelated changes including dividend reinvestments, account updates, name and address changes, cost basis changes, risk tolerance and investment objective changes, scanning, report dissemination and record retention as well as other ad hoc duties.Required Skills and Competencies:The requirements listed below are representative of the knowledge, skill and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.1. High school diploma or equivalent2. Ability to provide excellent customer service to internal associates3. Excellent organization skills and the ability to complete work daily with complete accuracy4. Ability to multi-task and prioritize work in a dynamic environment5. Professional verbal and written communication skills6. Ability to work independently and as part of a team7. Demonstrated proficiency in basic computer applications, such as Microsoft Office software products8. Ability to travel, occasionally overnightDesired Skills:1. Bachelors degree or equivalent education and related training2. Desire to improve knowledge of the securities industry3. Willingness to learn all areas of operationsTruist supports a diverse workforce and is an Equal Opportunity Employer who does not discriminate against individuals on the basis of race, gender, color, religion, national origin, age, sexual orientation, gender identity, disability, veteran status or other classification protected by law. Drug Free Workplace.Thank you for your interest in Truist! BB&T and SunTrust have come together in a transformational merger of equals to create Truist, the premier financial organization in the country. You may notice references to our legacy company names, BB&T and SunTrust, in places throughout this site. All such references should be understood to refer to Truist moving forward while we continue to transition to the Truist name.EEO is the Law Pay Transparency Nondiscrimination Provision E-VerifyThank you for your interest in Truist! BB&T and SunTrust have come together in a transformational merger of equals to create Truist, the premier financial organization in the country. You may notice references to our legacy company names, BB&T and SunTrust, in places throughout this site. All such references should be understood to refer to Truist moving forward while we continue to transition to the Truist name. 2017 SunTrust Banks, Inc. All rights reserved.SunTrust is federally registered service marks of SunTrust Banks, Inc.

Keywords: BB&T Suntrust Now Truist, Charlotte , Investment Brokerage Operations Representative, Other , Charlotte, North Carolina

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