Brokerage Operations Business Support Services Specialist

Role is in office at the client site in Richmond, VA

The Brokerage Operations Business Support Services Associate will provide high value world class client service to the front office, home office, and operations teams by responding to inquiries and providing timely resolution. Coordinate and support processes that are performed by vendors that include statement and trade confirmation mailings, investor communications (prospectuses, proxies, annual reports, etc.) mailings, and firm and regulatory mailings while maintaining adherence to industry regulations.

Key Responsibilities:

• Provide timely response to incoming email and phone inquiries pertaining to functions within operations. Engage department subject matter experts to assist with research and to provide resolution to complex issues.
• Work closely with various vendors that support client statements, investor communications, and shareholder services to include prospectus fulfillments.
• Responsible for having knowledge of various applications and systems that are utilized by the front office, home office and operations teams. Participate in testing and validation efforts to support production releases.
• Work closely with operations and other support teams to coordinate and distribute field communications.
• Serve as a liaison to coordinate changes related to client facing forms and work closely with form owners, Compliance, and application and development team when changes are presented. Track inventory and maintain the firm's form repository.
• Support investor communications by completing vendor related checklists, review and work exception items, provide maintenance support, and monitor the fulfillment of shareholder communications
• Stay abreast of department processes by cross training with various internal teams
• Maintain and provide support to internal intranet and SharePoint sites and perform maintenance as needed.
• Adhere to the regulators and guidelines established by Financial Regulatory Authority (FINRA), Securities and Exchange Commission (SEC), and other regulatory bodies.
• Assist with retrieving work items for audit requests.