Operations Associate

About the Role

This position is responsible for processing account transfers into and out of D.A. Davidson and processing physical securities. This role requires flexibility, organization, accuracy, and attention to detail. The qualified applicant will be capable of working independently and as a team member.

Key Responsibilities

• Support branch associates in a variety of aspects relating to the transfer of client accounts.
• Work with a variety of departments at D.A. Davidson to ensure accuracy throughout the transfer process.
• Review, process, and follow up on incoming and outgoing account transfers.
• Review and approve documentation.
• Review daily reports for exceptions and take the necessary action to resolve.
• Process and distribute mail.
• Proactively work with both branches and transfer agents.
• Request appropriate documents from branches in order to process and clear safekeeping trades.
• Follow up on all past due trades.
• Review and present certificates to transfer agents for reorganizations, registration, and redemption.
• Follow up to transfer agents on pending physical transfer items.
• Re-register certificates for deposit to the vault or to be mailed to clients via FA and their support teams.
• Perform other duties as assigned.

Requirements & Tech Stack

• Microsoft Outlook
• Microsoft Word
• Microsoft Excel

Qualifications

• High school diploma.
• Ability to communicate verbally and in writing in a clear and effective manner.
• Organizational and time management skills to be able to work under pressure.
• Computer proficiency.
• Capability to adapt to a constantly evolving work environment and quickly develop the vital skills and knowledge to address a new process or procedure.
• Detail oriented and possess good follow-up skills.