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Securities Processing Specialist
Lincoln Financial Group
Fort Wayne, IN, United States
Job Details - this job has expired, please see similar jobs below
The Role
Lincoln Financial Advisors (LFA) and Lincoln Financial Securities (LFS) are both member broker dealers of Lincoln Financial Network (LFN), the retail distribution force for Lincoln Financial Group (LFG), the marketing name for Lincoln National Corporation (LNC) and its affiliates. Our Operations Processor position is located within the LFN Investment Services Department and will work independently within a team to provide workflow related services and expertise to both internal and external customers and is integral to the success of the broker-dealer back office operation.
Responsibilities
• Processes client maintenance requests such as name, address or beneficiary changes, account documentation updates, etc.
• Builds and astablishes brokerage/advisory accounts
• Successfully completes regulatory and job training requirements
• Makes a positive contribution by making suggestions for improvement and continuing to learn new skills, procedures and processes
• Administers all business in accordance with FINRA, SEC, MSRB and OCC regulations while adhering to company and site policies and procedures
• Collects, sorts, logs and delivers incoming mail from mailroom
• Separates and indexes electronic business submissions within workflow system according to internal procedures
• Identifies and resolves submission issues within the workflow system
• Assesses physical paperwork on file to mitigate processing/mailing delays
• Assembles and mails physical paperwork to appropriate sponsor or clearing firm
• Monitors team email inbox for internal requests and handles accordingly
• Prepares weekly and monthly reports for the broker-dealer
• Maintains updated list of sponsor company contact information including addresses and fax numbers
• Organizes and processes undeliverable mail as needed
• Responds to workflow related inquiries from other business units; assesses and resolves issues in a timely manner
Education
• High School Degree, some college preferred
Experience
• 1-2 years’ experience in the financial services industry that directly aligns with the specific responsibilities preferred
• Analytical skills and close attention to detail is necessary to determine proper processing of investment documents
• Effective verbal and written communication skills
• Reading skills to interpret documents in standard English text such as policies, proposals, applications and procedures
• Skill in writing grammatically correct routine business correspondence such as brief transmittal memoranda
• Spanish or other foreign language skills a plus
• Skill in analyzing information, problems, situations, practices or procedures
• Skill in systematically arranging documents into groups or categories according to established criteria
• Ability to prioritize work based on business needs
• Ability to multitask between daily and weekly work assignments
• Ability to adapt quickly in a changing work environment
• Ability to work independently in a team environment