Under limited supervision, responds to inquiries, processes,
balances and reconciles client and firm positions, related to
complex corporate actions, which may include both domestic and
foreign issues. These actions may be considered either "voluntary",
e.g., exchange offers, election mergers, tenders, rights exercises
or "mandatory", e.g., dividend and interest allocations, reverse
splits, mergers, plan of reorganizations, sale/liquidation of Unit
Investment Trusts and class action lawsuits. May require
interpretation of legal materials to complete the process
**Essential Duties and Responsibilities:**
* Determines required actions and processes by reading legal
and/or regulatory documents/materials furnished by affected
* Ensures Financial Advisors (FAs) are notified about corporate
actions affecting their clients
* Processes complex mandatory and/or voluntary offers
* Processes and allocates dividends and interest payments
* Processes daily reports to update account status
* Receives and processes client elections (instructions) when
* Provides answers and information to complex or unusual client
inquires independent of management. Firm held liable for this
* Updates client and firm accounts
* May handle high volume of telephone, fax, and email inquiries
regarding past and current corporate actions from Branch and Home
* Actively participates in User Agreement Testing (UAT) for
systems and new process implementation
* May assist with special projects
* Performs other duties and responsibilities as assigned
**Knowledge, Skills, and Abilities:**
* Securities industry related to job responsibilities,
department and division.
* Products concepts relating to financial services industry,
including financial instruments, financial management, and cash and
* General office practices and procedures.
* Using required software applications to produce
correspondence, reports, electronic communication, spreadsheets and
databases at an intermediate to high level.
* Taking independent and prompt action to exceed customer needs
and ensure client satisfaction.
* Effectively balancing customer and organization needs when
there is a conflict or challenging problem to resolve.
* Reading and understanding Stock Records.
* Providing superior client service.
* Analyzing operational processes and identifying opportunities
* Ensuring procedures are updated and maintained on an ongoing
* Critical thinking and problem solving.
* Processing complex information to make logical decisions.
* Process complex financial transactions in an accurate and
* Use basic mathematics to solve problems, tabulate, and analyze
* Communicate in order to make one self understood by
supervisors and co-workers.
* Effectively communicate; defined as writing that is direct,
courteous, grammatically correct, clear, succinct and
* Demonstrate mental agility; identifying connections between
issues; quickly understands, orients to, and learns new
* Organize and prioritize workload while meeting critical
* Create logical, organized documents, spreadsheets, business
* Calculate percentages, balance accounts, and provide
* Organize, manage, and track multiple detailed tasks and
assignments with frequently changing priorities in a fast paced
* Remain positive under pressure.
* Resolve complex problems by exercising sound judgment, but
knows when to escalate issues.
* Identify potential functional improvements to processes and
* Work in a structured, team-oriented environment with peaks in
* Read, comprehend and apply complex business related
* Remain open to change and to considerable variety in the
* Establish and maintain effective working relationships at all
levels of the organization.
**Educational/Previous Experience Requirements:**
* Bachelor's degree in Finance, Accounting or a related
* Any equivalent combination of education, experience and/or
training approved by Human Resources.
* None Required.
**Primary Location:** US-FL-St. Petersburg-Saint Petersburg
**Organization** Operations & Administration
**Job Shift** Day Job
**Req ID:** 2100851