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This position responds to written securities and non-securities correspondence related to Incoming Rollovers for the 401k and plan business. Assists participants with completing incoming rollovers via phone, written letter, and email correspondence. Responsible for bringing rollovers to completion by working with internal Sales and Operations teams, as well as by working with the customer.
DUTIES / RESPONSIBILITIES / ESSENTIAL FUNCTIONS:
Respond to written securities and non-securities related correspondence for IRC Sections 401(a), 401(k), 403(b), 408, and 457 Plans. (Response through phone, email, etc.). Review and approve/reject rollover requests. Follow-up on rollovers that have not completed. Follow-up with internal departments on setup of Incoming Rollover Approval Services for new and existing plans. Provide telephone support on service items related to incoming rollovers, including working with internal Sales and Operations teams, as well as external companies to drive successful completion of rollovers. Partners with Sales team on identifying and addressing customer rollover needs. Supports the Mutual Fund IRA line of business with operational processing that could include, but not limited to return mail, report review, transfers, cash processing, and account maintenance updates. Other duties as assigned.
Associate’s Degree in Business or related field preferred
REGISTRATIONS / CERTIFICATIONS / LICENSING REQUIRED:
- Series 6 & 63 FINRA registrations required within corporate-established timelines.
- FINRA fingerprinting required.
OTHER PREFERRED QUALIFICATIONS:
- With no degree, one to two years of related experience is required; preferably in a financial services related field
- Strong critical thinking and decision making skills
- Highly motivated to succeed and welcomes challenges, detail oriented, ability to learn quickly, and retain information.