FEE-BASED MANAGED ACCOUNT QUALITY ASSURANCE SPECIALIST

Come be part of a team where you can grow your career and make a difference!  1st GLOBAL is the business partner to over 600 independent wealth management firms all across the country, providing back office operations, service and support in securities brokerage, fee-based asset management, insurance and retirement planning services.  We specialize in helping accounting, legal and financial professionals build successful wealth management practices.  We are a full-service broker-dealer and master general insurance agency.

 

We offer an excellent benefits package and an exciting and growing place to work.


The Fee-Based Managed Account Quality Assurance Specialist will be responsible for reviewing the daily activities performed by the Advisory Operations Specialists. The Fee- Based Managed Account Quality Assurance Specialist will be responsible for supporting the following operational functions for the department:

 

oReviewing all Advisory trades for accuracy

oReviewing all Advisory new accounts for accuracy and completeness

oBacking up Advisory Operations Specialists for the following functions in times of heavy volumes:

o  Trading

o  New Account Establishment

o  Performance Reporting

o  Account Maintenance

o  Customer Service

o  Problem Resolution

 

The Fee-Based Managed Account Quality Assurance Specialist should have a background in the operation of fee based managed accounts or a background in customer service for a financial services firm offering managed account or a Registered Investment Adviser. The Specialist should be familiar with the capital markets and be capable of providing superior customer service to registered representatives.

The ideal candidate will possess the following attributes, credentials and education:

 

o Bachelors degree in Finance or Accounting or equivalent experience

o Series 7 and 66 licenses

o Familiarity with NFS, LLC FBSI product

o Knowledge of Microsoft Excel and Access

o Proven record of excellence in a fast-paced environment

 

The ideal candidate must also be able to articulate examples of job ownership, evidenced through continuous process improvement.