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TRANSFER OF ASSET ASSOCIATE in Dallas, TX at 1st Global

Date Posted: 9/6/2018

Job Snapshot

Job Description

The Transfer of Assets (“TOA”) Department processes all financial transfers to and from brokerage accounts, mutual fund direct, and Change of Broker/Dealer requests. The mission of the TOA Department is to provide excellent service to 1st Global’s financial advisors in this area by accurately and timely processing the transfers and promptly responding to operational needs and issues. 

Duties/Responsibilities:
-Process incoming and outgoing transfers which are in good order.
-Process Change of Broker/Dealer Requests for Mutual fund, Variable Life and Annuity, Fixed Insurance and DPP Product Sponsors.
-Contact Product Sponsors to ensure that Change of Broker/Dealer requests have been completed or by viewing DST Vision or Advisor Central for completion.
-Process De-networking requests in Pivotal and FBSI.
-Communicate with Advisor via email regarding transfer of assets paperwork that is not in good order and enter information into Pivotal.
-Communicate with NFS and other external companies to ensure transferred assets have been received.
-Other duties and tasks as assigned

Knowledge, Skills, and Abilities:
• Excellent verbal and written communication skills.
• Excellent customer service skills.
• Must be highly detail-oriented.
• Must be a team player.
• Must have strong computer skills, including proficiency in MS Office applications.
• Participate in identifying and recommending process and procedure improvements.
• Answer general and specific TOA-related questions.
• Work Overtime during high volumes, including weekends when necessary.
• Participate in special projects assigned by manager.
• Ability to work under pressure and meet very strict deadlines.
• Prepare and present training to Advisors and Advisor Assistants on TOA-related processes and procedures.

Normal office work conditions

0% travel required

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