• Reviews and approve client requests to transfer accounts to and from contra firms.
• Screens incoming or outgoing client requests and verifies all necessary legal documentation that accompanies the client signed documents.
• Scrutinizes information contained in all types of transfer forms and letters of authorization.
• Assist with various requests for information, referring more complex matters to colleagues.
• Answer the telephone and assist callers or those making varied inquiries by email or mail with any basic requests for information, directing more complex matters to colleagues, as necessary.
• Carry out standard customer service activities and handle simple customer inquiries.
• Conduct data entry into company systems, and review and verify the information to ensure accuracy and accessibility.
• Enter data into standard branch systems, reviewing and verifying it for accuracy. This includes handling and documenting counter transactions.
• Maintain files and records.
• Organize own work schedule each day in line with changing priorities.
• Follow a range of mandatory procedures to ensure that work is carried out to the required quality standards and/or to ensure adherence to external regulatory codes and internal codes of conduct.
• Develop and maintain excellent procedural or technical skills by participating in assessment and development planning activities as well as formal and informal training and coaching.

Knowledge of: 

• Each type of security held by the firm and an understanding of the similarities and differences of each security, especially in terms of their complexities.
• Various industry rules and regulations that must be followed when transferring accounts.
• Other Home Office Operations departments.
• Various required legal documentation needed to process requests.

Skills:

• Uses clear and effective verbal communications skills under supervision to express ideas, request actions and formulate plans or policies.
• Supports business processes under supervision by applying an understanding and effective use of standard office equipment and standard software packages.
• Works under supervision to develop appropriate plans or perform necessary actions based on recommendations and requirements.
• Works to make every customer interaction positive by leaving the customer feeling understood, appreciated, and confident in the organization's ability. Typically works under close supervision.
• Works to navigate customer conversations by leveraging the four parts of a service conversation: open, learn, reply, and close. Typically works under close supervision.
• Works under supervision to plan, organize, prioritize and oversee activities to efficiently meet business objectives.
• Works under supervision to develop, monitor, interpret and understand policies and procedures, while making sure they match organizational strategies and objectives.
• Works to connect with customers to strengthen the relationship, meeting personal needs through positive customer experiences. Typically works under close supervision.
• Works under supervision to analyze data from multiple sources to draw appropriate conclusions and make suitable recommendations.
• Receives, monitors and deals with allocated customers at an elementary level, working under supervision.
• Applies understanding of the business environment and objectives to develop solutions under supervision.
• Works under supervision to meet high customer service standards.
• Works under to understand and effectively operate all customer management systems.
• Works under supervision to perform data analysis for use in reports to help guide decision making.
• Works under supervision to select, deploy and get the best results from the most appropriate office system.