Operations Associate, Client Services
Colliers, Minneapolis, MN, United States
Operations Associate
The Operations Associate is responsible for supporting the daily activities of the Operations Department and providing operational and client service support to registered representatives and internal stakeholders. This role assists with brokerage account servicing, transaction processing, regulatory documentation, and operational controls to ensure efficient and compliant business operations.
Essential Duties And Responsibilities
Provide high-quality service and operational support to registered representatives, support staff, and clients
Prepare account documentation and related account correspondence
Open, maintain, and service brokerage accounts in accordance with firm policies and regulatory requirements
Research and resolve customer inquiries in a timely and professional manner
Respond to inquiries from our clearing firm regarding customer transactions and account activity
Initiate and review requests for money movement in accordance with firm procedures and controls
Perform margin reconciliation and assist with monitoring margin related activities
Troubleshoot and resolve operational processing issues
Assist with trade processing and reconciliation of trade-related discrepancies
Participate in operational and service-related projects and initiatives
Ensure required account documentation and records are maintained in accordance with firm and regulatory standards
Perform representative registration reconciliation and related operational checks
Support internal audit preparation and help enforce internal procedures and operational controls
Ensure activities comply with firm policies and applicable regulatory requirements
Cross-train on operational functions performed across the team to support business continuity
Other duties as assigned
Required Education And Experience
High School Diploma or equivalent GED required, bachelor's degree preferred
2-5 years of brokerage operations or related financial services experience preferred
Prior experience within the broker-dealer or securities industry required
Competencies
Working knowledge of brokerage operations processes and procedures
Understanding of regulatory requirements applicable to broker-dealer operations
Ability to process requests in accordance with firm policies, procedures, and regulatory requirements
Strong written and verbal communication skills
Strong analytical and problem-solving abilities
Ability to manage multiple tasks while maintaining strong attention to detail and accuracy
Strong organizational and time management skills
Certificates, Licenses, Registration
Ability to obtain FINRA Series 99 preferred.
Job Expectations
This is a full-time position in office five days a week. Days of work are Monday through Friday during standard business hours. Regular and reliable attendance required.
Benefits
We offer a comprehensive benefits package for employees and their families including medical and dental plan; 401k plan including company matching; firm funded life and disability insurance.
Pursuant to the laws regarding job postings where the position is located, Colliers is disclosing the following information:
Area/Location Specific: Minneapolis, MN
Approximate Compensation Range for this Role: $28.85 - $36.06 (~$60,000 - $75,000 annualized)
Make your next move an expert one and join us as we lead the industry into the future.
Direct applicants only please, no agencies.
Colliers provides equal employment opportunity to all persons. No employee or applicant for employment will be discriminated against because of race, creed, origin, marital status, sexual orientation, age, otherwise qualified disabled or veteran status or any other characteristic protected by law. If you are a qualified applicant who requires reasonable accommodation to complete a job application, pre-employment testing, a job interview or to otherwise participate in the hiring process, please contact accommodations@colliers.com
The Operations Associate is responsible for supporting the daily activities of the Operations Department and providing operational and client service support to registered representatives and internal stakeholders. This role assists with brokerage account servicing, transaction processing, regulatory documentation, and operational controls to ensure efficient and compliant business operations.
Essential Duties And Responsibilities
Provide high-quality service and operational support to registered representatives, support staff, and clients
Prepare account documentation and related account correspondence
Open, maintain, and service brokerage accounts in accordance with firm policies and regulatory requirements
Research and resolve customer inquiries in a timely and professional manner
Respond to inquiries from our clearing firm regarding customer transactions and account activity
Initiate and review requests for money movement in accordance with firm procedures and controls
Perform margin reconciliation and assist with monitoring margin related activities
Troubleshoot and resolve operational processing issues
Assist with trade processing and reconciliation of trade-related discrepancies
Participate in operational and service-related projects and initiatives
Ensure required account documentation and records are maintained in accordance with firm and regulatory standards
Perform representative registration reconciliation and related operational checks
Support internal audit preparation and help enforce internal procedures and operational controls
Ensure activities comply with firm policies and applicable regulatory requirements
Cross-train on operational functions performed across the team to support business continuity
Other duties as assigned
Required Education And Experience
High School Diploma or equivalent GED required, bachelor's degree preferred
2-5 years of brokerage operations or related financial services experience preferred
Prior experience within the broker-dealer or securities industry required
Competencies
Working knowledge of brokerage operations processes and procedures
Understanding of regulatory requirements applicable to broker-dealer operations
Ability to process requests in accordance with firm policies, procedures, and regulatory requirements
Strong written and verbal communication skills
Strong analytical and problem-solving abilities
Ability to manage multiple tasks while maintaining strong attention to detail and accuracy
Strong organizational and time management skills
Certificates, Licenses, Registration
Ability to obtain FINRA Series 99 preferred.
Job Expectations
This is a full-time position in office five days a week. Days of work are Monday through Friday during standard business hours. Regular and reliable attendance required.
Benefits
We offer a comprehensive benefits package for employees and their families including medical and dental plan; 401k plan including company matching; firm funded life and disability insurance.
Pursuant to the laws regarding job postings where the position is located, Colliers is disclosing the following information:
Area/Location Specific: Minneapolis, MN
Approximate Compensation Range for this Role: $28.85 - $36.06 (~$60,000 - $75,000 annualized)
Make your next move an expert one and join us as we lead the industry into the future.
Direct applicants only please, no agencies.
Colliers provides equal employment opportunity to all persons. No employee or applicant for employment will be discriminated against because of race, creed, origin, marital status, sexual orientation, age, otherwise qualified disabled or veteran status or any other characteristic protected by law. If you are a qualified applicant who requires reasonable accommodation to complete a job application, pre-employment testing, a job interview or to otherwise participate in the hiring process, please contact accommodations@colliers.com