Operations Associate – Account Transfers and Security Processing

Responsibilities

• Review, process and follow-up on incoming and outgoing account transfers
• Review and approve documentation
• Review daily reports for exceptions and take the necessary action to resolve
• Process and distribute mail
• Review and present certificates to transfer agents for reorganizations, registration, and redemption.

Requirements

High school diploma

• Communicate verbally and in writing in a clear and effective manner
• Organizational and time management skills to be able to work under pressure
• Computer proficiency: knowledge of Microsoft Outlook, Word, and Excel
• Detail oriented and possess good follow-up skills

Summary/Function

This position is responsible for processing account transfers into and out of D.A. Davidson and processing physical securities. This role requires flexibility, organization, accuracy, and attention to detail. The qualified applicant will be capable of working independently and as a team member.

Qualifications

Capability to adapt to constantly evolving work environment and quickly develop the vital skills and knowledge to address a new process or procedure

Duties

• Support branch associates in a variety of aspects relating to the transfer of client accounts
• Work with a variety of departments at D.A. Davidson to ensure accuracy throughout the transfer process

Proactively work with both branches and transfer agents

• Request appropriate documents from branch in order to process and clear safekeeping trades. Follow-up on all past due trades.
• Follow up to transfer agents on pending physical transfer items
• Re-register certificates for deposit to the vault or to be mailed to client via FA and their support teams.
• Perform other duties as assigned

What we offer

• Competitive salary plus excellent benefits and perks including, but not limited to:
• Medical, Dental and Vision
• Company 401(k)and ESOP contribution
• Generous sick, vacation, and maternity/parental leave
• Paid holidays
• Professional Development Opportunities

Tuition Reimbursement ($15,000 lifetime cap)

Discounted personal insurance including home, auto and recreational vehicles.

Charitable gift-matching program

Davidson Day of Giving – Our tradition of positively impacting communities in which we live and work.

The compensation offered will be determined on a case-by-case basis considering a variety of factors including, but not limited to, the skills, relevant work experience, and geographic location of each specific candidate.

At D.A. Davidson, we are committed to fostering a diverse environment that supports the development and inclusivity of all employees.

We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, sex, gender, gender expression, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.

ACKNOWLEDGMENT

Please answer all questions carefully. By submitting this application for employment, I certify that all of the above information is true and complete and I understand that any falsification or omission of information made by me may disqualify me from further consideration for employment or, if hired, may result in my termination of my employment at any time during the period of my employment, regardless of the amount of time that has passed. California applicants, please see D.A. Davidson’s California Resident Privacy Policy.