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Company Chase & Co. is a leading global financial services firm with assets of more than $2.7 trillion, over 240,000 employees and operations in over 60 countries. It operates across four business segments including Asset & Wealth Management, Corporate and Investment Banking, Commercial Banking and Consumer and Community Banking.
Company Asset & Wealth Management, is a global leader in investment and wealth management. Its clients include institutions, high-net-worth individuals and retail investors in every major market throughout the world. The division offers investment management across all major asset classes including equities, fixed income, alternatives, multi-asset and money market funds. For individual investors, the business also provides retirement products and services, brokerage and banking services including trusts and estates, loans, mortgages and deposits.
Company advises the world’s wealthiest families and helps them achieve their desired goals. Our teams of Advisors deliver advice, solutions and services across investments, wealth planning, credit and banking to help clients build, preserve and manage their wealth over time.
The U.S. Private Bank advises families across the U.S. through 45 offices and represents one of the largest growth opportunities for Company Chase & Co. In 2019, the U.S. Private Bank was recognized by Euromoney as the #1 Private Bank Overall in North America.
The Operations Specialist will:
Adapt to the growing regulatory changes in the investment industry by opening and servicing brokerage accounts.
Responsible for the principaling of new accounts and servicing brokerage accounts for the firm.
Ensure compliance with all department and regulatory (AML, SEC, DOL, FINRA, etc.) requirements.
Supervise the maintenance of retail as well as managed brokerage accounts.
Aid with operation control and review procedure updates.
Support testing to validate new technology updates.
Assist with long term strategic planning for the department.
Must hold Series 7 and 24 licenses for this position Candidates that currently hold the Series 7 must obtain the Series 24 within 90 days of hire date
Brokerage experience is preferred
Management experience is helpful
Bachelor’s Degree is preferred
Proven interpersonal, team-oriented skills
Results oriented team player
Strong problem solving skills
Exceptional customer service mentality
Able to organize/manage multiple priorities and projects coupled with the flexibility to quickly adapt to ever changing business needs and requirements
High attention to detail, excellent follow-through
Strong spreadsheet, database, and reporting skills. Experience with Access is preferred
Sound decision making and judgment in resolution of moderate to complex issues
Ability to communicate with department managers to facilitate operations
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