Advisor Service Associate

Advisor Service Associate

Hilltop Securities is currently seeking an Advisor Service Associate to support its Momentum Independent Network (MIN) team with daily administrative tasks and special projects. The Hilltop Independent Network (HTIN) is a brokerage firm that provides support and services to independent registered representatives. In this role, the Advisor Service Associate will support the MIN team through administrative functions and project-based initiatives. Key responsibilities include initiating outbound calls to clients to verify their identity, confirm banking and transaction instructions, and document verification activities in accordance with operational procedures and compliance standards for money movement requests.

Responsibilities

• Responding to daily operational emails regarding money due notice, NSF vision checks, insufficient funds for recurring distributions, IRA debits, returned mail, etc. These communications require follow by email, cases and/or phone.
• Send notices to reps and their teams using a macro. When we need to push out a notice with a list of affected clients.
• Service Center updates. Updated forms, Hilltop Highlights, Supervisory Alerts, Compliance Alerts, etc. need to be uploaded to the Service Center in a timely manner. Updates to the phone list is manual. Keep the Who We Are tabs up to date.
• Work MIN cases in Service Center. DocuSign requests. General inquiries.
• Running occasional SQL queries.
• Keep MIN rep list updated with reps and staff additions and terms.
• Term rep letters to clients. Demand letter for termed reps.
• Help filter through accounts for IRA, AIP, and H&R fee. Keep list of exemptions (manual). Close accounts before fee are charged. Clean up accounts with debits after fee is charged.
• Admin support & handling incoming mail.
• Call campaigns education conference, new technology updates, etc.
• UAT testing.
• Assist with onboardings. Import for printing. And/or DocuSign. Format new forms/applications for importing for onboardings & DocuSign.

Qualifications

• High school graduate or equivalent. College degree preferred or 2 years previous work experience.
• Self-motivated team player with ability to work in a fast-paced environment while maintaining accurate, complete, and high-quality work in a timely manner.
• Ability to prepare and maintain confidential records and reports.
• Excellent relationship building and communication skills, both oral and written.
• Ability to multi-task and coordinate with other departments and individuals at all levels.
• Intermediate computer skills running macros in Excel, v-lookup, and basic SQL updating date and running search.
• Desire to obtain SIE and Series 7.

The above statements are intended to describe the general nature and level of work being performed by individuals in, or assigned to, the above position and are not intended to be construed as an exhaustive list of all responsibilities, duties and skills required and may be changed at the discretion of the Company.

About Us

At Hilltop Securities, we believe in building noble and collaborative relationships that enrich the financial future of individuals, businesses and communities. With an extensive portfolio of products, we deliver a broad range of investment banking and related financial services that help our clients achieve their definition of success. As a subsidiary of Hilltop Holdings, which also encompasses PlainsCapital Bank, and PrimeLending, we have the financial strength and stability that has withstood the test of time. Our nationwide presence in 400 locations across 44 states provides our associates with extensive opportunities to grow their careers in a diverse organization that truly values relationship capital above all else.