MassMutual Investment Services Specialist in Springfield, Massachusetts
The successful candidate for the Investment Services Specialist position will have working knowledge of the securities industry specifically as it relates to back office processing of account maintenance items. The primary responsibility for this position is the processing of rep reassignments, creating Letters of Interest (LOI), representative terminations and split code creation. The specialist will review documentation for accuracy, completeness and adherence to firm policy/procedure. Additionally, the specialist will handle and respond to email request from financial advisors, external partners and internal departments.
RESPONSIBILITIES OF THE ROLE:
Monitor queues, review, process/submit for processing rep reassignments, rep terminations and split code requests.
Ensure transaction requests conform to firm policies and procedures as well as clearing firm policies and procedures.
Monitor departmental mailboxes and process requests received via this avenue.
Accurately record all requests and documentation into workflow processing tool.
Assist financial advisors with policy and procedural related questions and provide assistance when necessary.
Communicate 'not in good order' ( NIGO) information to financial advisors, advisor delegates and be able to follow up and obtain additional paperwork and/or information as necessary.
Responsible for handling escalations from the field, external and departments.
Partner with operational departments to resolve issues.
Maintaining ongoing attention to detail providing accuracy and integrity of information
Assist management with review of various reports and projects.
Actively participate in team huddles, provide suggestions to allow the team to function efficiently and effectively. Provide front line feedback for revisions to policies and procedures.
1-2 years brokerage industry knowledge
Must be able to communicate effectively and efficiently with advisors, internal and external customers.
Must be able to Multi-task in a fast-paced environment.
Be able to prioritize responsibilities to ensure deadlines are met.
Need to be detail oriented and accurate.
Ability to build partnerships with colleagues, be flexible and adapt to change.
Must possess problem solving and analytical skills.
Be flexible with overtime when needed
Working knowledge of Microsoft Suite, including Excel, Outlook, Word
College Degree in Business, Finance or related field
3+ years brokerage industry knowledge
Work experience in Insurance, Securities or related industry
Open to obtaining securities licensing
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