Divisional Operations And Service Analyst

Operations And Service Analyst

Rockefeller Capital Management's New York City Office within the Rockefeller Global Family Office is looking for an Operations and Service Analyst to support the team. The Operations and Service Analyst will support the Divisional Operations Director in serving as points of contact for Private Advisor teams joining the Rockefeller Capital Management platform. This individual will liaise with various departments, including Compliance, Operations, Technology, Products and Marketing. The ideal candidate is one that is thorough in their work, operates with a high attention to detail, has strong communication, organization, time management and problem-solving skills, and is driven to develop and grow in their role.

Responsibilities

Assist the Divisional Operations Director in projects and initiatives they are involved in within the business and across the organization.

Assist with ad-hoc projects relating to transition of Advisor's book, client engagement and marketing and remediation efforts for existing Advisors' books.

Ensure that operational priorities are aligned with the team's elevated client experience.

Support the Divisional Director and the team on various Private Advisor recruiting efforts and daily needs of Private Advisors on platform.

Improve and monitor internal processes, setting up internal systems, review operation reports by gathering, analyzing, and interpreting data and metrics and continually introduce process improvement measures and present suggestions.

Develop and contribute to best practices for the Business.

Assist the Office Leadership Team in the day-to-day operations as it relates to the on-boarding and continued support of Financial Advisors and their client accounts including but not limited to:

Account opening and maintenance

Transferring assets and money movement

Completing investment subscription documents

Cash management & RMDs

Assisting with client online access

Responding to account activity and statement inquiries

Managing life events

Administrative work as needed

Provide top quality service to clients and complete administration of client accounts

Handle operational aspects of client accounts including reporting on account holdings and investment performance, posting daily cash activity, and entering trade instructions

Generate expense reports for submission using Concur

Process new accounts and account maintenance, by obtaining all necessary approvals and ensuring all client documentation is returned, completed and approved

Process all client cashiering requests (money market redemptions, wires, checks, journals, check deposits, etc.)

Support marketing efforts by promoting client seminars and events

Offer administrative and office management support to the team

Prepare client correspondence, obtain necessary management approvals, and transmit

Review daily activity and reconcile current client activity, funds transfers and previous day's activity and trades against various clearing firm systems to ensure accuracy

Oversee client insurance and annuities processes

Assist in preparation of key documents, PowerPoint presentations and reports for client meetings

Attend client meetings as necessary and present client performance

Complete necessary filing and maintain client files

Attend compliance and continuing education training sessions as required by regulatory agencies and the firm

Qualifications

BA/BS degree

Prior client service and/or operations experience within financial industry, or equivalent experience, preferred

Series 7 & 66 required. Series 9 & 10 preferred, and if not, willing to obtain

Skills

Basic understanding of investments and/or portfolio reporting and related terminology

Highly proficient in Microsoft Office with emphasis on Excel; ability to use Excel to organize, analyze, present and report on client information; Word, Access and PowerPoint a plus

Ability to work well independently and as a part of a team in a fast paced environment

Ability to multi-task and be able to reassess priorities as situations arise

Detail-oriented and attention to accuracy and meeting deadlines

Excellent interpersonal skills

Ability to exercise discretion with confidential matters

Strong communication skills, both written and verbal

Ability to express ideas clearly and concisely

Compensation Range

The anticipated base salary range for this role is $85,000 to $95,000. Base salary for the role will depend on several factors, including a candidate's qualifications, skills, competencies, and experience, and may fall outside of the range shown. In addition, this role may be eligible for a discretionary bonus. Rockefeller Capital Management offers a comprehensive benefit package including health coverage, vacation time, paid leave, retirement plan, and more.

Disclosure

Rockefeller & Co. LLC, Rockefeller Financial LLC, Rockefeller Trust Company, N.A., The Rockefeller Trust Company (Delaware), Rockefeller Financial Services, Inc. and all other subsidiaries of Rockefeller Capital Management L.P. (individually and collectively, "Rockefeller") is an equal opportunity employer and does not discriminate on the basis of race, religion, sex, gender, sexual orientation, gender identity or expression, national origin, citizenship, age, military or veteran status, marital or partnership status, caregiver status, legally recognized disability, or any other basis protected by applicable federal, state or local law ("protected characteristics").

Rockefeller Capital Management participates in the E-Verify program in certain locations, as required by law.