Job Information
Aston Carter Processing - AG in Phoenix, Arizona
Description:
The processing team is responsible for processing all backend processing of paperwork/transactions for investments in a variety of systems and platforms
Rules and regulations for FINRA/investment regulations are everchanging and must be able to adapt to new policies and procedures
Dependent on specialty (Cashiering, Margin, New Accounts or Transfers), tasks will vary but a processors main tasks is to receive tickets and process them.
Responsible for processing up to 40 tickets daily
As a newer processing representative, they are typically started on processing cashiering transactions and eventually are cross-trained on more difficult tasks such as margins/transfers/etc.
Cashiering -
-Money movement transactions
-Processing IRA distributions
Margins-
-More specialized transactions
New Accounts -
-Examples of some of these transactions are if someone passes away and the current account needs to be reopened under the beneficiary's name, address changes, uploading miscellaneous documents
Transfers -
-Bringing in or taking out funds from an external account
-Transferring an external investment account to a new advisor
Additional Skills & Qualifications:
2-5 Years Investment Industry Experience
Backend Office Brokerage Experience (Investment or Annuity)
Industry Knowledge with Investments
Financial Advisor Assistant Experience is helpful
Ability to critically think and problem solve
Able to make outbound calls
Highly Preferred –
Candidates who have the SEI Certificate
Candidates with a Series 7 or Series 63 License
Candidates with experience with systems such as Salesforce and NetX360
Education/Licenses
Bachelor's Degree Preferred in Finance/Business
Series 7 or Series 6 License Preferred (Higher Compensation is offered if they have this)
SEI certificate Preferred
About Aston Carter:
Please Note: Scammers are posing as Aston Carter. We'll never contact you via Gmail, Telegram, or WhatsApp and we'll never solicit money from you.
At Aston Carter, we’re dedicated to expanding career opportunities for the skilled professionals who power our business. Our success is driven by the talented, motivated people who join our team across a range of positions – from recruiting, sales and delivery to corporate roles. As part of our team, employees have the opportunity for long-term career success, where hard work is rewarded and the potential for growth is limitless.
Established in 1997, Aston Carter is a leading staffing and consulting firm, providing high-caliber talent and premium services to more than 7,000 companies across North America. Spanning four continents and more than 200 offices, we extend our clients’ capabilities by seeking solvers and delivering solutions to address today’s workforce challenges. For organizations looking for innovative solutions shaped by critical-thinking professionals, visit AstonCarter.com. Aston Carter is a company within Allegis Group, a global leader in talent solutions.
The company is an equal opportunity employer and will consider all applications without regards to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law.
If you would like to request a reasonable accommodation, such as the modification or adjustment of the job application process or interviewing process due to a disability, please call 888-237-6835 or email astoncarteraccommodation@astoncarter.com (%20astoncarteraccommodation@astoncarter.com) for other accommodation options. However, if you have questions about this position, please contact the Recruiter located at the bottom of the job posting. The Recruiter is the sole point of contact for questions about this position.