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Senior Brokerage Services Representative (RIA - Back Office Operations)

Company: Blucora
Location: Dubuque
Posted on: June 9, 2021

Job Description:

Blucora has a bold aspiration: we are committed to giving all people the tools needed to lead healthy financial lives - tools often reserved for the wealthy.

We now turn to the next leg, developing the technological tools that make our vision of financial health for all a reality. Atypical for the financial services industry, we take a contemporary approach to strategy and product development that is founded in user insights, rapid testing and a singular focus on driving end-user value.

Since charting new territory on a daily basis is part of everyone's job at Blucora, we've attracted team members who thrive on the challenge, encourage each other, and are passionately committed to the goal. If you agree that problem- solving is a team sport, and feel energized by a good debate, deep dive research, or a fun night out with colleagues, we might be the right firm for you!

Position Summary

Avantax Planning Partners, a subsidiary of Blucora and sister company to Avantax Wealth Management and TaxAct is seeking a Senior Brokerage Services Representative who will provide customer service to broker-dealer clients and outside registered representatives in a timely and accurate manner. This includes assisting with special projects and backup support in the brokerage operation area as needed. Performs other duties as assigned or required.

Essential Duties & Responsibilities

  • Provide brokerage investment services to all CPA affiliates and their clients.

  • Provide broker support and after-the-sale service to in-house registered representatives.

  • Perform support in sales and operations to outside registered representatives.

  • Perform the processing of applications/forms and trades/deposits.

  • Coordinate the assignment of tasks for brokerage services representatives.

  • Perform statement preparation and variable annuity processing.

  • Monitors Brokerage Statements.

  • Tracks Brokerage Transfers.

  • Oversee daily Pershing downloads.

  • Train new client services personnel.

  • Provide exceptional customer service to CPAs, FAs, clients, vendors, and staff.

  • Works toward continuous quality improvements and service.

  • Stays current with changing technology, including software and financial programs.

  • Upholds, supports, and promotes all company policies and procedures.

Education & Experience

  • Associate's Degree or equivalent from two-year college or technical school required.

  • Minimum of three years related experience (1 year for staff level) with brokerage accounts and proficiency in brokerage account servicing preferred.

  • Strong computer skills with MS Word, Excel, CRM Database, PowerPoint, Email, and the Internet.

  • Excellent technical skills required. Certifications, Licenses, Registrations:

  • Preferred: FINRA Series 7 & 63.

Physical Demand & Work Effort

  • Keying/typing, standing, walking.

  • Sitting for an extended period.

  • Constant mental and/or visual attention; the work is either repetitive or diversified requiring constant alertness in an office environment.

  • The job is typically performed under comfortable working conditions; any disagreeable elements are generally absent during the normal performance of the job.

  • Compliance with company attendance standards.

Comprehensive Benefits

We offer a competitive salary, outstanding benefits package that includes medical, dental, vision, life insurance, paid vacation and sick days, paid holidays, tuition reimbursement, and 401(k) with company match.



At Blucora, we believe our work benefits from the diverse perspectives of our employees. As such, Blucora welcomes and celebrates diversity and inclusion and is committed to equal opportunity employment. At Blucora, you can expect a supportive, open and inclusive atmosphere and a team that values your contributions.

Blucora, Inc. and its subsidiaries, Avantax Wealth Management, Avantax Planning Partners (formerly HK Financial Services), and TaxAct are committed to providing an environment of mutual respect where equal employment opportunities are available to all applicants without regard to race, color, religion, sex, national origin, age, physical and mental disability, marital status, sexual orientation, gender identity, veteran status, and any other status protected under federal or state law. Blucora, considers information gathered in the hiring process, including information on this application, confidential, and only shares it on a need-to know basis or as required by law. If you need assistance or an accommodation due to a disability, you may contact us at HR@Blucora.com or by calling 972-870-6000 to speak with a member of the HR Talent Acquisition team.

Keywords: Blucora, Dubuque , Senior Brokerage Services Representative (RIA - Back Office Operations), Other , Dubuque, Iowa

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