Careers

Position Summary:

The Client Relations Specialist provides training and ongoing support services to the registered representatives and support staff of CreativeOne Securities.  Responsibilities include facilitating new registered representatives in all phases of transitioning their securities clients to the organization.  In addition to assisting with transitions, the Client Relations Specialist provides support with all back office functions​

Duties and Responsibilities include, but are not limited to:

• Creating new client accounts, submit service request for clients’ accounts, forwarding checks and securities to the appropriate vendors.
• Research customer accounts including account errors, name and address verification, dividend payment modes, status of securities, etc.
• Facilitate training for registered reps and their support staff on Client One’s cloud platform
• Day to day online customer service to registered representatives (including password res-set, training, etc.)
• Follow-up on outstanding items with registered representatives
• Scan/index departmental information
• Daily interaction with registered representatives, vendors, teammates and customers to provide customer service

Critical skills sought:

• Applies critical thinking, problem solving skills, and evaluates the level of sensitivity, risk and confidentiality of the work being performed in order to see it through to a resolution
• Displays a positive attitude and has excellent interpersonal skills
• Displays patience and empathy both verbally and in writing when communicating with customers, registered reps and support staff.
• Effectively communicates with cross functional team members within the department and across the organization both verbally and in writing
• Effectively uses and applies knowledge of securities operations, business processes and systems
• Manages work load of self to meet project deadlines and deliverables
• Must be team oriented, enjoy working with people, and be pro-active, flexible, and have the ability to work independently and accurately in a fast paced environment
• Prioritizes work and adheres to established turnaround times and deadline
• Proficient in various computer applications, including Microsoft Office Suite
• Strong general administrative and telephone skills

Background/experience:

• SIE exam completion preferred.
• Docupace experience a plus
• Life and variable insurance license preferred
• Must be able to pass a CRD and background check as well as a credit check
• 3+ years experience in the securities industry

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This description covers the major purpose and major functions of the job.  It is not intended to give all details or a step by step account of the way each task is to be performed.  Employees may receive other job related instructions and be required to perform other job related duties requested by their supervisor.  All requirements are subject to possible modification to provide reasonable accommodation to qualified individuals with disabilities.
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Position Summary:

The Registration Specialist is responsible for licensing and registration with regulatory bodies for advisors and registered representatives joining CreativeOne Securities.

Duties and Responsibilities include, but are not limited to:

• Answer registration questions from advisors and registered representatives.
• Facilitate licensing for new and existing advisors and registered representatives.
• Initiate background and any other necessary regulatory checks.
• Oversee variable annuity appointments with various insurance carriers.
• Set up new advisors and registered representatives on internal/external systems.
• Maintain procedure manual

Critical skills sought:

• Ability to multi-task and stay organized handling multiple projects at once.
• Willingness to learn and contribute to organizational growth.
• Team player.
• Detail oriented.
• Enjoy working with a variety of people.
• A proactive and a problem solver.
• Strong phone skills and ability to teach processes.

Qualifications/Experience:

• Experience working inside of a broker dealer.
• Excel experience required
• Must be able to pass a CRD, background, and credit check.
• Proficient in various computer applications, including Microsoft Office Suite.

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This description covers the major purpose and major functions of the job.  It is not intended to give all details or a step by step account of the way each task is to be performed.  Employees may receive other job related instructions and be required to perform other job related duties requested by their supervisor.  All requirements are subject to possible modification to provide reasonable accommodation to qualified individuals with disabilities.
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Summary of responsibilities:

As a Trade Desk Specialist, you will work in a call center environment taking inbound calls from Financial Advisors, their assistants, and their clients. Trade specialist will also make outbound calls to Advisors regarding trades and trade corrections. Trade specialist must be able to understand multiple products and the risks, fees, and differences between the products. Trade specialist must also understand and be able to explain the regulatory requirements and financial policies that govern the products we support and ensure compliance with product guidelines, financial policies and regulatory requirements.

Duties and Responsibilities include, but are not limited to:

• Assist financial advisors, money managers, and retail clients with order placement, model trading and rebalancing, and general trade inquiries.
• Assist in resolving trade and settlement issues by working with clearing firms trade desk, money managers, advisors.
• Understand the syndicate trading process and regulations around new issued securities and work with the issuers of these products.
• Assist and execute trades in fixed income environment. Work directly with advisors, clients and vendors to ensure execution.
• Manage and monitor the activity in firm accounts. Error, Average Price, Syndicate, and Trade Reject accounts.
• Understand the syndicate trading process for newly issued securities.
• Handle a high volume of inbound trading and service-related calls in a calm and efficient manner.
• Ensure that inbound client correspondence such as emails, phone calls, and other forms of communications are answered in a timely, efficient, and polite manner.
• Contact advisors, clients regarding margin calls and work directly with the clearing firm to solve margin issue.
• Assist with corporate action and reorganization items
• Work effectively with all departments and function in a team environment.

Preferred Qualifications:

• 4-5+ years trading experience
• Knowledge of equity, option, fixed income markets
• Thorough knowledge of market-place rules and regulations
• Demonstrated high degree of accuracy and attention to details
• Excellent customer service skills with the ability to listen and communicate in a clear and concise manner
• Must be able to work productively in both a small and large group setting
• FINRA Series 7 & 63 or 65 licenses required, Series 4, 53, 24 desired
• Bachelor’s degree preferred

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This description covers the major purpose and major functions of the job. It is not intended to give all details or a step-by-step account of the way each task is to be performed. Employees may receive other job-related instructions and be required to perform other job related duties requested by their supervisor. All requirements are subject to possible modification to provide reasonable accommodation to qualified individuals with disabilities.
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