Job Description
Why we need you.
We are growing and our clients deserve the best. As a Wealth Management Specialist,
processes require paperwork and provide customer service for new and existing business. This
may include new business applications, maintenance items, transfer paperwork and various
other supplemental accounting paperwork.
In this role, as well as all roles within MassMutual, you will demonstrate accountability, agility, a
dedication to be inclusive, a strong business acumen, first time right approach and will show
courage, even in the most difficult situations. We also highly value strong communication and
documentation skills, a passion for learning, leadership traits, resilience, and self-awareness.
Roles And Responsibilities
Validation of paperwork for both new and existing business which includes new
business applications, maintenance items, transfer paperwork and other various
supplemental accounting paperwork. Review broker dealer new business
submissions for accuracy and completeness.
Provide telephone support to both internal and external customers concerning
paperwork requirements, NIGO issues, setting up customer accounts, etc.
Identify cases that are not in good order (NIGO) to alert our Field force for resolution.
Process client data into back-office systems with a high level of accuracy with first
time right approach.
Research and resolve operational issues as needed.
Identify and resolve problems using Root Cause Problem Solving tools.
Work effectively to meet/exceed productivity and quality standards.
Adherence to process/organizational policies and procedures.
Escalations of issues on a priority basis
Ability to work overtime and/or work in a flexible shift arrangement as per business
requirements.
Required skills and qualifications - The qualifications that are needed for this role:
1-3 years of financial services industry knowledge or experience in similar process support
Effective communication and documentation skills.
Knowledge on MS excel, MS word and MS PowerPoint.
Knowledge on MS excel macros is preferred.
Ability to challenge the existing process and propose process improvement ideas.
Adaptability to work in a fast-paced environment, adhere to strict deadlines and good
logical & reasoning abilities.
Due to the nature of this position, as a part of our background check process, candidates
must be able to pass a non-registered fingerprint background check to qualify as a
fingerprinted person under FINRA.
Knowledge of registration types, brokerage account features, managed account
attributes, billing of managed account
Working knowledge of the securities industry specifically as it relates to back-office
processing for standard non-retirement accounts.
Knowledge and understanding of FINRA/SEC rules and regulations preferred.
Preferred qualifications - Additional skills/requirements that make you a great fit.
Bachelor's degree in commerce or finance with preference to Post Graduation or
equivalent business experience.
As a member of the Wealth Management team, you will be subject to supervision
requirements including Non-Registered Finger printing (NRF) and personal trading
account oversight.
Work Timings
This role requires flexibility to work in shifts (regular, afternoon shift, and night shift in
India) as per business requirements on a permanent/rotational basis.
Team members may require working in India night shifts initially for few weeks for
trainings.
