Clearing Operations Support Coordinator

    • Job Tracking ID: 85444-352602
    • Job Location: Great Falls, MT
    • Job Level: Any
    • Level of Education: Any
    • Job Type: Full-Time/Regular
    • Date Updated: 11/15/2022
    • Years of Experience: Not Applicable
    • Starting Date: ASAP
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Job Description

Summary/Function:
Be responsive to and answer or direct questions from the D.A. Davidson branch associates. Track queries in a ticketing system and coordinate with Operations associates to ensure issues are resolved in a timely and accurate basis. Track trends of questions to determine training needs across the branches. Work with Operations Managers, Wealth Management Trainer and others to ensure support. Ensure phone lines are staffed across all time zones in which we do business. Assist with special projects as needed.

Experience and Skills

Qualifications:
* High school diploma.
* Successful completion of the FINRA SIE exam, and within one year of hire, FINRA Series 99
* Strong interpersonal, oral, and written communication skills.
* Great active listening skills
* A patient and empathetic attitude
* Communicate in a clear and service-oriented manner. Use appropriate, professional language and grammar to effectively exchange ideas and information.
* Ability to proactively work with internal clients. Relate with others in a professional manner in order to accomplish work responsibilities and objectives.
* Minimum 2 years Davidson Operations experience or relevant security industry experience.
* Seasoned knowledge of the securities industry rules and regulations.
* Strong background in BETA Host, Thomson One, Envestnet and TRAX preferred
* Familiar with general accounting principles.
* Sound judgement, initiative, strong organizational skills and attention to detail.
* Ability to work in a team environment and collaborate with other team members.
* Ability to operate a PC and calculator.
* Familiar with Outlook, Word and Excel
* Follow policies and procedures. Maintain client confidentiality.
* Ability to maintain regular, predictable attendance.
* Ability to work regularly scheduled hours for complete coverage across all times zones in which we do business.

Duties:
* Plan, staff, direct and control the work activities of the department to include all personnel management functions such as:
o Interview and select new employees.
o Prepare and present performance appraisals.
o Provide work direction, training and staff development
o Recommend salary increases and promotion.
o Participate in budget preparation and control expenses.
o Prepare work schedules to ensure sufficient coverage
* Take calls from branch staff and provide accurate, satisfactory answers to their queries and concerns.
* Guide callers through troubleshooting, navigating the company Intranet site or using relevant systems
* Track trends and work cooperatively with Wealth Management and Operations to resolve issues.
* Alert Operations or other departments to possible issues or trends that may negatively impact the business or are opportunities for training.
* Stay updated on policy or procedural changes so that information provided is current.
* Assist with testing of new processes/TRAX to provide scope.
* Coordinate with Desktop Solutions on training opportunities.
* Perform various other duties as assigned

At D.A. Davidson, we are committed to fostering a diverse environment that supports the development and inclusivity of all employees. We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, sex, gender, gender expression, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.