Branch Estates Liaison

    • Job Tracking ID: 85444-357263
    • Job Location: Great Falls, MT
    • Job Level: Any
    • Level of Education: Any
    • Job Type: Full-Time/Regular
    • Date Updated: 08/07/2023
    • Years of Experience: 5+
    • Starting Date: ASAP
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Job Description

This individual will work with a focus on current industry rules and regulations. A primary function will be to implement processes and procedures that correspond to fulfilling the requirements of these rules and regulations, while also promoting efficiencies.
Develop and maintain a sound working relationship between the branches and the Estates department to contribute to effective and efficient business operations by keeping branches informed, offering explanations when needed, identifying services that can be improved, troubleshooting problems and communicating all estates changes affecting the branches.
Works closely with department managers, supervisors and associates in a way that promotes the established company culture.

Experience and Skills

* 5-6 years’ Estates experience (from a branch office and back-office environment a plus).
* Successful completion of the Series 7, (and 66 or 63/65 preferred)
* Paralegal training or degree preferred
* Possess the desire to learn how Estates correlates with all other departments within Operations (especially Cost Basis, IRA, Managed Assets, Margin)
* Possess strong leadership skills
* Working knowledge of the securities industry financial markets, products and client expectations.
* Excellent communication skills, Communicate in a clear and service- oriented manner. Use appropriate, professional language and grammar to effectively exchange ideas and information.
* Facilitation and presentation skills.
* Diverse people skills and the ability to work both independently and collaboratively to achieve goals and resolve problems.
* Ability to think creatively and build solutions for a wide variety of issues.
* Ability to problem solve effectively and apply a risk-based approach to build a client friendly experience
* Strong analytical and organizational skills, and attention to detail.
* Ability to prioritize and meet deadlines in a sometimes-stressful situation.
* Proactive, self-motivated.
* Manage with integrity, honesty and knowledge to promote the culture, values and mission.
* Follow policies and procedures. Maintain client confidentiality.
* Ability to proactively work with both external and internal clients. Relate with others in a professional manner in order to accomplish work responsibilities and objectives.
* Proficient technology skills with Microsoft Office, Intranet, Outlook, Thomson One, and other applications and systems.
* Ability to maintain regular, predictable attendance.

* Develop and maintain a sound working relationship between the branches and the Estates department to contribute to effective and efficient business operations.
* May assist Transition Team to facilitate the onboarding process with regards to Estates department policies and procedures for new Financial Advisors (FAs).
* Provide answers to branch Estates questions.
* Work with Branch Operations Managers to ensure branches are informed of new developments or changes to processes and procedures affecting Estates.
* Identify estates services, processes and policies that can be improved to contribute to efficient and effective branch and Estates department operations.
* Work with WM management and Operations manager to address procedure and policy issues. Identify and implement solutions.
* Serve as a resource for Estates initiatives.

What we offer:
Competitive salary plus excellent benefits and perks including, but not limited to:
* Medical, Dental and Vision
* Company 401(k)and ESOP contribution
* Generous sick, vacation, and maternity/parental leave
* Paid holidays
* Professional Development Opportunities
* Tuition Reimbursement ($15,000 lifetime cap)
* Discounted personal insurance including home, auto and recreational vehicles
* Charitable gift-matching program
* Davidson Day of Giving - Our tradition of positively impacting communities in which we live and work.

The potential base pay hiring range for this role is $45,000 - $50,000. The compensation offered will be determined on a case-by-case basis considering a variety of factors including, but not limited to, the skills, relevant work experience, and geographic location of each specific candidate.

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, gender, 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.