Responsible for providing exceptional service and operational support to the branch. Apply problem solving skills to find the best solution for the client and Advisor. When necessary, initiate research   with the transfer agent, brokerage department or insurance carrier. Route issues that cannot be addressed to the appropriate subject matter expert. Provide sales support to BNY Mellon Advisor Services for mutual fund, brokerage, managed account and annuity business to assist the department in meeting their sales and revenue goals.  Review new account documentation for accuracy before processing. Assist management to ensure that all compliance and regulatory guidelines are being met in the branch.  This includes the initial review of new accounts and transactions to ensure we meet SEC Regulation Best Interest & DOL PTE requirements.  

Must have a complete understanding of a retail financial operation that interacts with brokerage back office, our transfer agent and/or insurance providers.  2-3 years of experience in financial services.  FINRA Series 6 and 63 are required and a Series 7 needs to be obtained within 90 days of hire.  The applicant must possess superior new account processing and servicing knowledge.   

Qualifications

High school/secondary school or the equivalent combination of education and experience is required. Bachelors degree preferred. 3-5 years of total work experience preferred. Experience in financial services preferred.

BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer.
Minorities/Females/Individuals With Disabilities/Protected Veterans.
Our ambition is to build the best global team – one that is representative and inclusive of the diverse talent, clients and communities we work with and serve – and to empower our team to do their best work. We support wellbeing and a balanced life, and offer a range of family-friendly, inclusive employment policies and employee forums.

Primary Location: United States-New York-Uniondale
Internal Jobcode: 70689
Job: Wealth Management
Organization: Retail Direct Group-HR16386
Requisition Number: 2109069