RIS - Investment Operations Specialist- Central Florida

RIS Investment Operations Specialist

At Regions, the RIS Investment Operations Specialist provides operational support, such as reporting and customer account maintenance, within the Investment Services division to advisors, clients, and internal partners.

Primary Responsibilities

• Collects, logs, and ensures filing accuracy of Financial Advisor account transaction packages on a monthly basis
• Acts as a resource to Financial Advisors, coordinating support and coaching for ad hoc requests and questions in platforms such as Marketing Central, Bridge, Portfolio Access, DocuSign, etc.
• Acts as a resource to Financial Advisor by pulling routine and ad hoc reports such as performance and production reports
• Facilitates marketing campaigns by compiling new and relevant content in Marketing Central at the direction of Financial Advisors
• Partners with AIE to host team training seminars, virtual meetings, and operational best practices classes as needed
• Participates in semi-annual audits of Financial Advisors' Book of Business to ensure both internal and external compliance guidelines are met
• Participates in annual branch audits by compiling State, Federal, and Cetera Audit requirements as well as running audit demonstration classes to prepare Financial Advisors
• Updates and reviews operational task procedures approved by compliance

This position requires the tracking of time and is eligible for overtime for hours worked in excess of 40 per week under the Fair Labor Standards Act.

Requirements

• High School Diploma or GED
• Three (3) years of banking or financial services experience

Preferences

• Bank brokerage experience

Skills and Competencies

• Ability to research and solve problems
• Excellent verbal and written communication skills
• Proficient at Microsoft Office (Excel, Word, etc)
• Strong analyzing, coordinating, and follow up skills
• Strong attention to detail

Location will be dependent on the right candidate but will support Central Florida.

Position Type

Full time

Compensation Details

Pay ranges are job specific and are provided as a point-of-market reference for compensation decisions. Other factors which directly impact pay for individual associates include: experience, skills, knowledge, contribution, job location and, most importantly, performance in the job role. As these factors vary by individuals, pay will also vary among individual associates within the same job.

The target information listed below is based on the Metropolitan Statistical Area Market Range for where the position is located and level of the position.

Job Range Target:

Minimum:

$50,500.00 USD

Median:

$63,650.00 USD

Incentive Pay Plans:

This job is not incentive eligible.

Benefits Information

Regions offers a benefits package that is flexible, comprehensive and recognizes that "one size does not fit all" for benefits-eligible associates. Listed below is a synopsis of the benefits offered by Regions for informational purposes, which is not intended to be a complete summary of plan terms and conditions.

• Paid Vacation/Sick Time
• 401K with Company Match
• Medical, Dental and Vision Benefits
• Disability Benefits
• Health Savings Account
• Flexible Spending Account
• Life Insurance
• Parental Leave
• Employee Assistance Program
• Associate Volunteer Program

Please note, benefits and plans may be changed, amended, or terminated with respect to all or any class of associate at any time. To learn more about Regions' benefits, please visit the link below.

Orlando Main 111 North Orange Avenue

Orlando, Florida

Equal Opportunity Employer/including Disabled/Veterans