Operations Associate, Client Services

Operations Associate

The Operations Associate is responsible for supporting the daily activities of the Operations Department and providing operational and client service support to registered representatives and internal stakeholders. This role assists with brokerage account servicing, transaction processing, regulatory documentation, and operational controls to ensure efficient and compliant business operations.

Essential Duties And Responsibilities

• Provide high-quality service and operational support to registered representatives, support staff, and clients
• Prepare account documentation and related account correspondence
• Open, maintain, and service brokerage accounts in accordance with firm policies and regulatory requirements
• Research and resolve customer inquiries in a timely and professional manner
• Respond to inquiries from our clearing firm regarding customer transactions and account activity
• Initiate and review requests for money movement in accordance with firm procedures and controls
• Perform margin reconciliation and assist with monitoring margin related activities
• Troubleshoot and resolve operational processing issues
• Assist with trade processing and reconciliation of trade-related discrepancies
• Participate in operational and service-related projects and initiatives
• Ensure required account documentation and records are maintained in accordance with firm and regulatory standards
• Perform representative registration reconciliation and related operational checks
• Support internal audit preparation and help enforce internal procedures and operational controls
• Ensure activities comply with firm policies and applicable regulatory requirements
• Cross-train on operational functions performed across the team to support business continuity
• Other duties as assigned

Required Education And Experience

• High School Diploma or equivalent GED required, bachelor's degree preferred
• 2-5 years of brokerage operations or related financial services experience preferred
• Prior experience within the broker-dealer or securities industry required

Competencies

• Working knowledge of brokerage operations processes and procedures
• Understanding of regulatory requirements applicable to broker-dealer operations
• Ability to process requests in accordance with firm policies, procedures, and regulatory requirements
• Strong written and verbal communication skills
• Strong analytical and problem-solving abilities
• Ability to manage multiple tasks while maintaining strong attention to detail and accuracy
• Strong organizational and time management skills

Certificates, Licenses, Registration

Ability to obtain FINRA Series 99 preferred.

Job Expectations

This is a full-time position in office five days a week. Days of work are Monday through Friday during standard business hours. Regular and reliable attendance required.

Benefits

We offer a comprehensive benefits package for employees and their families including medical and dental plan; 401k plan including company matching; firm funded life and disability insurance.

Pursuant to the laws regarding job postings where the position is located, Colliers is disclosing the following information:

Area/Location Specific: Minneapolis, MN

Approximate Compensation Range for this Role: $28.85 - $36.06 (~$60,000 - $75,000 annualized)

Our compensation ranges are determined by role, level, and location. The range displayed on this job posting reflects the minimum and maximum target for new hire salaries for the position across all US locations. Within the range, individual pay is determined by work location and additional factors, including job-related skills, experience, and relevant education or training.

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Direct applicants only please, no agencies.

Colliers provides equal employment opportunity to all persons. No employee or applicant for employment will be discriminated against because of race, creed, origin, marital status, sexual orientation, age, otherwise qualified disabled or veteran status or any other characteristic protected by law. If you are a qualified applicant who requires reasonable accommodation to complete a job application, pre-employment testing, a job interview or to otherwise participate in the hiring process, please contact View email address on click.appcast.io