Operations Associate New Accounts Clerk
Operations Associate New Accounts Clerk
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Salary Not Disclosed
1 Vacancy
Job Description
NOTICE TO JOB APPLICANTS RESIDENT IN CALIFORNIA PEASE CLICK LINK TO REVIEW: is a global leader in precious metal and critical materials investments. We are specialists. Our indepth knowledge experience and relationships separate us from the generalists. Our investment strategies include Exchange Listed Products Managed Equities and Private Strategies. Sprott has offices in Toronto New York Connecticut and Carlsbad and the companys common shares are listed on the New York Stock Exchange and the Toronto Stock Exchange under the symbol (SII). For more information please visit .
Sprott USA
Sprott USA a division of the Sprott Group of Companies provides US and international investors with a full range of precious metals and critical materials investment options including separately managed accounts brokerage services and private placements.
Position Description
Sprott Global is looking for a fulltime Operations Associate and New Account Clerk to support the Operations team in Carlsbad California. The Operations Associate and New Accounts Clerk will work in close concert with other departments and our clearing firm RBC Capital Markets LLC. This is an entrylevel position in terms of finance industry experience; however the ideal candidate will have a strong administrative background and exceptional attention to detail.
Position Responsibilities
Primary Responsibilities:
Coordinate and oversee all activities pertaining to opening and maintaining client accounts
Initiate the opening of new accounts and ensure the collection of all necessary documents for both existing and prospective clients
Collaborate with RBCs our custodian document processing team
Review client applications for incomplete documents or information and communicate with Investment Executives to address the deficiencies and to inform them of new account openings
Draft and send to Investment Executives various followup letters requiring client signatures
Execute account modifications such as changes in representative discretionary status options trading ability beneficiary investment access account etc.
Maintain and update accurate new account documentation on local drives
Organize paperwork within the internal electronic filing system and update accounts electronically
Implement or remove account blocks as necessary which may require urgent attention
Conduct antifraud and antimoney laundering checks utilizing LexisNexis Bridger Insight
Compile documentation for compliance approval
Request supervisor approvals from RBC throughout the day as needed
Verify the authenticity of applicants original signatures and ensure signature specimens are maintained on file
Dispatch relevant notifications to Investment Executives Assistants and the Operations Team
Parttime Front Office/Reception duties:
Greet all incoming guests in a polite and friendly manner and notify the appropriate party when guest arrives
Receive and distribute all incoming USPS mail including packages and gifts FedEx and UPS mail
Print FedEx labels and stamp all outgoing mail
Provide printing and mailing support to employees upon request
Forward voicemails to appropriate person
This role will involve splitting reception coverage with another associate alternating two weeks on covering reception and two weeks off sitting with the operations team
Qualifications:
Detailoriented with excellent organization skills
Strong written and verbal communication skills
Proficient technology skills
Ability to work well with a team to accomplish complex tasks
Ability to work in a fastpaced and deadlineoriented environment
Strong MS Office skills
Genuine interest in investment industry and financial matters is preferred but not required
To apply for this position please include a resume and cover letter with your submission. We thank all applicants for their interest; however only qualified candidates as determined by Sprott will be contacted. Sprott does not accept unsolicited agency resumes or phone calls.
Sprott welcomes and encourages applications from people with disabilities. Please let us know if we can provide accommodations to support your participation in Sprotts recruitment process.
Sprott is an Equal Opportunity Employer.
Required Experience:
IC
Employment Type
Full-Time
