Broker/RIA Client Services Representative

Broker/RIA Client Services Representative

Axos Clearing is a leading, full-service correspondent clearing firm for more than 60 independent broker-dealers and 90,000 customers, headquartered in Omaha, Nebraska.

Axos Clearing, a wholly-owned subsidiary of Axos Financial, Inc. (NYSE: AX), will be rebranded Axos Clearing.

Our team members are innovative, technologically sophisticated, and motivated to achieve.

BASIC FUNCTION

Serve as a conduit for the flow of information between Axos Clearing and its Correspondent & RIA firms. Facilitate Axos Clearing’s services offerings to its correspondents & RIA firms by assisting with training, correspondent on-boarding, communication of operational matters, and service throughout the firm.

Other responsibilities:

  • Manage, track and research resolutions that arise with the correspondents on a daily basis
  • Collaborate with operational units to enhance and maintain service quality
  • Participate in special projects as needed
  • Update training materials for new and existing correspondents
  • Schedule any required training for correspondents in a timely manner
  • Responsible for all education and communication going to correspondents, such as new product information, operational notices, etc.

ENVIRONMENT/DIMENSIONS

Systems:

  • BETA
  • Thomson ONE
  • SunGard access including Admin Module
  • Outlook
  • Isecurus
  • Axos Web Viewer
  • sFTP site
  • Crystal Reports
  • SEA
  • BEP Editor
  • BETA Online Docs & BUC site
  • JIRA

PRINCIPAL ACCOUNTABILITIES

Work in conjunction with the conversion teams to transition a new client during the conversion process to onboard new Correspondents and RIA firms. Assist with training on BETA Systems and any other related platforms which include but are not limited to desktop applications.

Work directly with Registered Investment Advisor firms that are looking to do business with Axos Clearing to aquire all needed documentation to initiate the Conversion Process.

Serve as a point of contact for all correspondents weather Independent Broker Dealers or Registered Investment Advisors on day to day operational issues.

Receive inquiries from Independent Broker Dealers or Registered Investment Advisors; follow through to ensure questions and problems are addressed in a timely manner, direct operational issues to the appropriate departments: facilitate “soft handoffs” if necessary.

Assist with testing new system versions to ensure the implementation of quality products and tools.

Provide ongoing training to Independent Broker Dealers and Registered Investment Advisors personnel on all systems.

Identify training issues, product needs and any other reoccurring matter that requires attention.

Follow up on operational issues with the appropriate operations manager. Address training issues with Independent Broker Dealers and Registered Investment Advisors.

Act as the conduit for announcements or communications to Independent Broker Dealers and Registered Investment Advisors regarding procedure, policy or processing changes.

Assist in writing and maintaining policies and procedures and identifying standards and efficiencies for the department.

Work with compliance, product development, and operational areas in order to keep current with any system enhancements that would impact our Independent Broker Dealers and Registered Investment Advisors.

Participate in special projects and perform any other duties as directed. Serve as back-up to other positions in the department.

QUALIFICATIONS/REQUIREMENTS

  • Understanding of back office systems including but not limited to BETA, Thomson ONE, SunGard, and department policies and procedures.
  • Demonstrate the ability to provide quality and thorough customer service.
  • Successful completion of the FINRA Series 7, General Securities Exam.
  • Excellent oral and written communication skills, decision-making, analytical and problem-solving skills.
  • Knowledge of IRS, FINRA, SEC and MSRB rules and regulations.
  • Working knowledge of the securities industry, its products and operations.
  • Effective self-starter
  • Ability to handle multiple tasks simultaneously, prioritize, and complete them in a fast-paced environment
  • Ability to learn, apply and retain new information and skills quickly
  • Ability to display professionalism across all settings
  • Ability to solve problems quickly
  • Ability to produce high quality work and meet deadlines
  • Ability to anticipate business needs for internal and external clients
  • Ability to organize, prioritize, and share work responsibilities as needed to manage and ensure the successful completion of client requests within agreed-upon service levels
  • Strong analytical, organizational, and problem solving/decision making skills
  • Proven ability to work effectively in a team setting as well as independently with minimal supervision

Apply directly for consideration as we are not using any outside agencies for any of our openings

Job Functions & Work Environment:

The work environment characteristics described here are representative of those an employee may encounter while performing the essential functions of this position. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions of this position.

While performing the duties of this position, the employee is required to sit for extended periods of time. Manual dexterity and coordination are required while operating standard office equipment such as computer keyboard and mouse, calculator, telephone, copiers, etc.

Equal Employment Opportunity:

Axos Clearing is an equal opportunity employer. We are committed to providing equal employment opportunities to all employees and applicants without regard to race, religious creed, color, sex (including pregnancy, breast feeding and related medical conditions), gender, gender identity, gender expression, sexual orientation, national origin, ancestry, citizenship status, military and veteran status, marital status, age, protected medical condition, genetic information, physical disability, mental disability, or any other protected status in accordance with all applicable federal, state and local laws.