Hotline: 678-408-1354

Operations Specialist

The WH Operations Team provides QUALITY CUSTOMER SERVICE within an atmosphere of teamwork. We service approximately 100 Financial Service Teams. A team member has heavy phone contact with numerous internal customers and coordinates with the WWM Support team on firm-wide efficiency projects.
Primary Responsibilities Credit Team & Account Transfers:
  • Scrutinize accounts for Fed rule Reg-T and 15C3-3 and extensions of time requests. Notify WH Reps in order to ensure client trades are funded.
  • Monitor accounts for margin maintenance requirement calls, disburse information on maintenance calls to WH reps, calculate maintenance requirements at request of WH reps and make recommendations for fulfillment of maintenance calls.
  • Review and approve Non-IRA service requests such as ACH, fed wire requests, and journals.
  • Examine notices from FCC concerning mandatory and non-mandatory corporate actions such as tender offers, rights offerings, cash or stock mergers, etc. This also includes processing death puts for corporate bonds and CDs.
  • Check and security deposits
Account Transfer:
  • Process Account Transfer (ACAT) service requests and remain diligent in follow-up processes to ensure transfers are processed in a timely fashion.
Secondary Responsibilities:
Retirement Plans
  • Will act as a source of information per retirement plans and will stay current with respect to changes in current tax laws.
  • Helps Financial Advisors (FAs) by reviewing IRA reports and processes to ensure the correct information is relayed to the FA.
  • Reviews and approves IRA service requests such as IRA distributions/contributions.
  • Provides constant feedback to the FA in regards to any death beneficiary distributions.
  • Processes transfers from inside and outside of Wayne Hummer Investments following IRS rules concerning transfers and rollovers.
Account Maintenance:
  • Process account paperwork (including verification of correct paperwork and inspection of paperwork for any errors).
  • Update accounts per client requests, compliance requests, or regulatory requests.
  • Main resource of information concerning correct paperwork needed for all types of accounts, including making recommendations for unusual types of accounts.
  • Review the delinquent documentation report in order to keep the advisors up to date per the documentation that is required.
Qualifications

  • Exceptional organizational skills
  • Exceptional customer service skills
  • Excellent Microsoft Office suite skills (Word and Excel)
Education:
  • Bachelor’s Degree in finance is preferred.
Programs Utilized: First Clearing Smart Station, Microsoft Office Suite, and Docupace
EOE.
Wintrust Financial Corporation (including community banking and financial services subsidiaries) is an Equal Opportunity/Affirmative Action/Veterans/Disability employer.

Contact Us

Eltas EnterPrises Inc.
3978 Windgrove Crossing
Suite 200A
Suwanee, Georgia
30024, USA
contact@eltasjobs.com

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