Careers

X Senior New Account Specialist

Dallas, TX

Description

The Senior New Accounts Specialist is responsible for opening and maintaining all new accounts and determining if any paperwork is not in good order.  The Senior New Accounts Specialist will provide excellent customer service when communicating with advisors and documenting status of paperwork in the customer relationship management application used by 1st Global.  The Senior New Accounts Specialist handles escalated situations that arise in the department and frequently will coordinate and present training to team members and other various groups.  The Senior New Accounts Specialist is responsible for creating and maintaining departmental policies and procedures.  The Senior New Accounts Specialist will assist with monitoring document volumes and allocating resources to ensure service level goals are achieved. The Senior New Accounts Specialist monitors a series of reports in order to keep documents and checks in compliance with 1st Global’s standards.

Department

The New Accounts Department establishes clients and maintains data in the master file system for all lines of business. The New Accounts Department establishes Brokerage, Advisory Accounts (IMS), and processes business to Insurance Carriers and Mutual Fund Companies to establish directly held accounts.

Responsibilities

             Assist with identifying and implementing process and procedure improvements.

             Answer general, specific and complex new accounts-related questions.

             Work overtime and on weekends as necessary to meet service level agreements.  

Functions

All responsibilities are generally performed on a daily basis, unless otherwise noted.

             Review new account paperwork for in good order “IGO” status, and establish new accounts.

             Manage escalations and time sensitive issues in the department. 

             Manage projects for the department as requested to meet deadlines and achieve department goals.

             Query SQL database to generate departmental reports.

             Analyze various reports and make recommendations for process improvements.

             Delegate task to meet stated metrics and departmental goals.

             Manage various reports to minimize company risk exposure.

             Manage and coordinate departmental initiatives for process improvements.

             Work with clearing firm, product sponsors, and third part venders to process businessman resolve escalations.  

             Create and maintain departmental policies and procedures.

             Provide navigational and technical assistance to New Accounts Specialist.

             Deliver quality control feedback and coaching to New Accounts Specialist

             Coordinate and participate in training of 1st Global staff and Advisors (Matrix).

Qualifications

             College Degree preferred.

             FINRA Series 7 securities license strongly preferred or willingness to obtain in 12 months.

             FINRA Series 24 securities license preferred or willingness to obtain in 12-24 months. 

             Financial Services industry experience required.

             Team lead or supervisory experience preferred.

             SQL Database knowledge and experience preferred.

Skills

             Excellent verbal and written communication skills required.

             Excellent customer service skills required.

             Exceptional organizational skills required.

             Strong analytical and problem solving skills required.

             Strong attention to detail and ability to multi-task and prioritize jobs independently required.

             Strong leadership Skills required.

             Must have the ability to retain information, and learn new systems quickly.

             Must have the ability to work effectively independently, as well as in a team environment.

             Must be able to work in fast paced, high pressure environments.

             Must have strong computer skills, including expert proficiency in MS Office applications. 

Who We Are

1st Global assists CPA, tax and estate planning firms that provide wealth management services to emerging affluent and affluent families.

We deliver the capabilities essential for wealth management excellence: education, business-building expertise, thought leadership and innovative technology.

We support our affiliated firms to profitably and ethically better serve their clients, enabling them to honor the important promises they make.

Mission and Values