Account Transfer Associate

The Account Transfer Associate is responsible for facilitating the external transfer of client assets by leveraging skills acquired through experience and ongoing training. This role includes researching and resolving complex issues, monitoring workflow for efficiency, and maintaining accurate departmental metrics. The associate also provides standard client support services by assisting internal associates and/or Financial Advisors in addressing and resolving escalated inquiries. They regularly engage with internal customers, recommending solutions to moderately complex problems and ensuring a high standard of professionalism and service. This position requires strong analytical capabilities, exceptional communication skills, and a client-first mindset when delivering operational support across teams.

Responsibilities

Reviews and approves client requests to transfer accounts to and from contra firms; Screens incoming or outgoing client requests and verifies all necessary legal documentation; Scrutinizes information contained in transfer forms and letters of authorization; Assists with requests for information, referring more complex matters to colleagues; Answers telephone and assists callers by email or mail with basic requests; Carries out standard customer service activities and handles simple customer inquiries; Conducts data entry into company systems and reviews it for accuracy; Enters data into branch systems and handles counter transactions; Maintains files and records; Organizes own work schedule in line with changing priorities; Follows mandatory procedures to ensure quality and regulatory compliance; Develops and maintains procedural or technical skills through training and coaching

Requirements

Bachelor's degree in Accounting, Business Administration, or Finance; High School diploma (Required); 4 to 6 months general experience; Strong analytical capabilities; Exceptional communication skills; Client-first mindset; Knowledge of each type of security held by the firm and their similarities and differences; Knowledge of industry rules and regulations for transferring accounts; Knowledge of other Home Office Operations departments; Knowledge of required legal documentation to process transfer requests; Skills in clear verbal communication, standard office equipment and software, planning and organizing, customer service, data analysis, and customer management systems; Ability to work under supervision

Benefits

Medical, dental, and vision insurance; Life insurance; Critical illness insurance and accident insurance; Disability benefits; Retirement savings; Paid time off including vacation, holidays, and sick leave; Parental leave; Potential additional compensation, discretionary bonuses, or commissions