Rate Management Coordinator in Atlanta, GA at APEX Systems

Date Posted: 3/12/2018

Job Snapshot

Job Description

Job #:  813354



One of our top clients in Atlanta, GA has an opening for a Rate Management Coordiantor. If interested, please send your resume to Emily at eglisson@apexsystems.com.

Our candidate will be responsible for the Entering and Maintenance of Advisor Rate Management & Reporting intended for Daily processing of Work - Flow Functions to ensure compliance with all applicable Network regulations. 
Using sharp investigative skills, our candidate will review various mediums, including, but not limited to: 
ORC - Online Registration Center, Sales Force License & Registration, SABOS/AS400, CAESAR, Back office Operating Systems. 
Candidate must be fluent in Microsoft Office. This position will have specific interactions according to the work-flow requirements where our candidate will develop and maintain relationships with the financial advisors within SPF, RAA, FSC, and WFS. 
There will be special projects that can include, but are not limited to: participation in New Acquisitions, Annual Pricing updates regarding Group rate changes, System and Product conversions, Internal and External Audit preparation. 
Conducting due diligence on daily request for proposed rate management for Advisors 

ESSENTIAL JOB DUTIES (include the following but not limited to): 
• Maintain payout percentages for Advisors 
• Process payout percentage changes and Update payout percentages for new reps 
• Serve as a subject matter expert to advisors on matters pertaining to rate management. Assist internal business partners to understand and comply with rate management rules and regulations. 
• Interact with management and other supervisory/compensation/Business Development/ Licensing and Registration personnel on escalated issues to ensure rate management is compliant within industry best practices. 
• Maintain effective working relationships with areas across the organization as well as with OSJ/ME/MFA and Advisors. Maintain quality customer relations with emphasis on service, quality and support of business objectives. 
• Work independently to ensure department deadlines are met and service levels are maintained. 
This position has no supervisory responsibilities. 

Job Requirements

• Basic understanding of FINRA and SEC rules regarding advertising and sales literature in order to effectively review communications concerning securities and investment advisory services. 
• Strong understanding of financial products (variable products, mutual funds, alternative investments, etc.) and mainstream investment strategies used by financial advisors. 
• Ability to effectively handle and prioritize multiple tasks in a fast-paced environment to meet defined deadlines 
• Excellent analytical and problem-solving skills 
• Prefer candidates that are currently or have been previously employed at an independent broker-dealer. 
• Ability to work in a time-sensitive environment and provide client support during extended hours and occasionally on weekends, as needed. 
• Excellent written and oral communication skills, including the ability to diplomatically find solutions to assist First Line Supervisors and Advisors with their inquiries regarding Rate updates. 

Bachelor’s degree (B.A. or B.S.) preferred; three year related experience, or equivalent combination of education and experience. 

EEO Employer

Apex is an Equal Employment Opportunity/Affirmative Action Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, age, sexual orientation, gender identity, national origin, disability, protected veteran status, or any other characteristic protected by law. Apex will consider qualified applicants with criminal histories in a manner consistent with the requirements of applicable law. If you have visited our website in search of information on employment opportunities or to apply for a position, and you require an accommodation in using our website for a search or application, please contact our Employee Services Department at employeeservices@apexsystemsinc.com or 844-463-6178.