BCI - Brokerage Consultants Ltd.

Our Focus: Financial Services

We connect the right people with the right positions throughout the financial community.

  • Asset Management
  • Alternative Investments
  • Banking
  • Broker/Dealers
  • Commercial Lending
  • Consulting
  • Corporate Treasury
  • Family Offices
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  • Insurance & Pension Funds
  • Municipal Finance
  • Private Equity
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Brokerage Consultants - Financial Recruiting

Tap our resources.

They run deep. Since our inception we've kept our focus trained exclusively on the financial industry, and we've built a vast network of contacts in the process. Let us put those resources to work for you. We'll connect you with the most current job openings at the most desirable companies in Chicago or nationwide.

Job Order:
826-157

Job Type:
Permanent

Title:
Investment Services Associate (826-157)

Location:
NE Ohio

Description:
Investment Services Associate (826-157)
NE Ohio
Compensation commensurate with experience

Independent Broker-Dealer based in NE Ohio is seeking to bring an
experienced Investment Services Associate on board to assist the VP,
Investment Services in the day-to-day responsibilities of the department.
This person must have a strong understanding of operational technologies and
workflow process.

RESPONSIBILITIES:
Assist in the administration of overall plan for the management of the
department.
Provide clearly articulated departmental goals which includes key projects
and initiatives of the entire organization, projected expense budgets,
saving opportunities and anticipated capital investments required, along
with the necessary controls and procedures to effectuate the plan
Ensure annual goals and are being met or exceeded
Assist in all aspects of operations necessary to support the products,
services and programs of the broker dealer and RIA
Work alongside the VP, Investment Services to manage the clearing firm
relationship, direct business processing units, brokerage account functions,
registered investment advisory services and new business suitability review
Understand industry technology and identify new and improved ways to process
business electronically, drive the adoption of electronic based platforms
and, where appropriate, incorporate the use of technology into both the
advisor and retail investor client experience
Establish and implement operational standards, workflows and quantitative
objectives that work together to achieve the goal of increased customer
satisfaction and greater value creation
Operate in a continuous improvement fashion including looking for ways to
streamline processes, improve unit costs and deliver higher levels of
service
Function as a liaison to vendor partners

REQUIREMENTS:
B.S. Degree in Finance, Accounting or Business Administration required
MBA a plus
FINRA licensing Series 7, Series 24 (ideally Series 63, Series 65 or Series
66)
Minimum of 5 years’ experience working in an operational capacity in a
broker-dealer and a registered investment advisor
Familiar with the Tamarac/Envestnet platform and other general investment
advisor operational and trading platforms
Familiar with the Pershing clearing platform and NetX360
Thorough working knowledge of FINRA governed broker-dealer products and
services as well as SEC advisory products and services
Strong working knowledge of FINRA and SEC compliance
Proficient in key industry leading operational technologies and has an
understanding of how to incorporate them into the business processing and
workflow (Examples: Tamarac, Albridge, LaserApp, Docusign, etc.).


Category:
Broker Dealer

Contact:
zach@bcius.com