Bonus Type

Summary

If you are looking for a job that combines a passion for innovation, an opportunity for growth, and a culture of teamwork, then you’ve come to the right place.  We have an exciting opportunity awaiting someone like you! 

Job Description

The Brokerage Operations Specialist I will specialize in one of two departments: Asset Movement or New Accounts, in support of BOK Financial Securities accounts within NetX360. These responsibilities include, but are not limited to, level II approval of New Account opening, money movement processing/approval, account maintenance processing/approval, document review/approval. Works closely with Financial Advisors, Client Support Specialists, Pershing, and other team members to ensure timely and accurate processing.

Team Culture

We achieve more together by being involved, committed, and collaborative. We respect, honor and praise one another for a job well done. We celebrate each other’s wins, big and small.

How You’ll Spend Your Time

New Accounts:

• Level II Approval- You will monitor and approve new customer accounts as to information accuracy and completeness, categorization of account/customer type, review of documents submitted, and final assessment/approval of documentation completion. Responsible for ensuring customer information and document requirements are met in regards to KYC, CIP, AML, FINRA, and BOKFS rules. Manages and facilitates new account opening requests.
• You will monitor Account Maintenance and AOM Document Processing Queues for documentation completion and information accuracy.

Asset Movement:

• Money Movement/Cashiering– You will monitor and approve money movement requests as to information accuracy and completeness, categorization of account/customer type, review of documents submitted and final assessment/approval of account documentation completion. Responsible for ensuring customer information and document requirements are met in regards to KYC, CIP, AML SEC, FINRA and BOKFS rules.
• You will monitor Asset Movement work queues for review/approval of Account Transfers, Journals, Periodic Instructions, Standing Instructions, ACH, Check, and Fed Fund requests. Monitor Asset Movement related Document Processing Queues.
• You will manage problem resolution by acting as a liaison between Financial Consultants and Pershing. Interprets and communicates NIGO (not in good order) requests to Financial Consultants and Sales Assistants. Assists with inquiries and problem resolution.
• You may perform other duties as assigned.

Education & Experience Requirements

This level of knowledge is normally acquired through completion of a Bachelor’s Degree, or 1-2 years if investment/banking experience, or 2-5 years of work related experience.

FINRA Licensing: SIE and Series 99 required (or ability to obtain within 180 days of hire)

• Strong attention to detail; ability to complete tasks in a timely and efficient manner, focusing on detailed execution and accuracy.
• Excellent time management skills; ability to prioritize and execute high volumes of workload
• Basic PC and Software application experience including Excel, Microsoft Word, and Adobe
• Excellent communication and interpersonal skills, including oral and written communication skills, and professional etiquette.
• Must have the ability to handle difficult conversations and communicate complex policies and guidelines clearly and concisely.
• Excels when working as a team, proven ability to work collaboratively with others
• Experience with the following applications ideal, but not required: NetX360, Morningstar, MoneyGuide Pro, Salesforce, TPSS