Brokerage Operations Specialist I

Brokerage Operations Specialist I

If you are looking for a job that combines a passion for innovation, an opportunity for growth, and a culture of teamwork, then you've come to the right place. We have an exciting opportunity awaiting someone like you!

Job Description

The Brokerage Operations Specialist I will specialize in one of two departments : Asset Movement or New Accounts, in support of BOK Financial Securities accounts within NetX360. These responsibilities include, but are not limited to, level II approval of New Account opening, money movement processing / approval, account maintenance processing / approval, document review / approval. Works closely with Financial Advisors, Client Support Specialists, Pershing, and other team members to ensure timely and accurate processing.

Team Culture

We achieve more together by being involved, committed, and collaborative. We respect, honor and praise one another for a job well done. We celebrate each other's wins, big and small.

How You'll Spend Your Time

New Accounts :

• Level II Approval - You will monitor and approve new customer accounts as to information accuracy and completeness, categorization of account / customer type, review of documents submitted, and final assessment / approval of documentation completion. Responsible for ensuring customer information and document requirements are met in regards to KYC, CIP, AML, FINRA, and BOKFS rules. Manages and facilitates new account opening requests.
• You will monitor Account Maintenance and AOM Document Processing Queues for documentation completion and information accuracy.

Asset Movement :

Education & Experience Requirements

This level of knowledge is normally acquired through completion of a Bachelor's Degree, or 1-2 years if investment / banking experience, or 2-5 years of work related experience.

FINRA Licensing : SIE and Series 99 required (or ability to obtain within 180 days of hire)

BOK Financial Corporation Group is a stable and financially strong organization that provides excellent training and development to support building the long term careers of employees. With passion, skill and partnership you can make an impact on the success of the bank, customers and your own career! Apply today and take the first step towards your next career opportunity!

The companies in BOK Financial Corporation Group are equal opportunity employers. We are committed to providing equal employment opportunities for training, compensation, transfer, promotion and other aspects of employment for all qualified applicants and employees without regard to sex, race, color, religion, national origin, age, disability, pregnancy status, sexual orientation, genetic information or veteran status.