This is a new role reporting to the Supervisor, New Accounts and Document Management working in partnership with Investment Advisors and Assistants, as well as Compliance and Client Services Departments.
As a Team Lead, you will be responsible for providing exemplary service to clients and advisory groups by ensuring new and existing account information is complete and accurate, in accordance with regulatory compliance, tax, trust and estates. The ideal candidate is a strong communicator and critical thinker with solid investment industry experience. To be successful in this role, you will need to be seasoned and adept in learning new rules, concepts and systems quickly, in an ever-changing regulatory environment.
· Provide expert advice in processes and best practices related to account opening to advisors and their teams.
· Deliver excellent client service by responding to inquiries accurately and in a timely fashion.
· Partner with Compliance, Corporate Actions and Tax, as well as Trust and Estate Departments to remain current on new developments, anticipate impact to existing processes and execute changes as required.
· Communicate department initiatives, changes and updates to designated portfolio group.
· Review, audit and update new and existing client account applications and information, in accordance with rules and regulations related to compliance, tax, trust and estates.
· Ensure standard operating procedures are followed and service level agreements are met in a fast-paced, service-driven environment.
· Maintain up-to-date knowledge of fee structure models to administer account fees.
· Identify opportunities to streamline processes for operational efficiencies and collaborate with team members to document new and existing processes
Engage in continuous learning and development to increase knowledge as a subject matter expert.
· Participate in cross-functional department reporting, audit and review projects
Knowledge and Experience Requirements: