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Broker-Dealer Operations Associate III
Guardian is seeking a highly skilled professional with outstanding verbal and written communication abilities who demonstrates self-motivation and a clear goal-oriented mindset. You excel in dynamic, fast-paced environments and consistently uphold best-in-class customer service standards. Your patience, empathy, attention to detail, and ability to work both independently and as part of a team further distinguish your professional capabilities.
You have
- 0-2 years of experience in broker-dealer operations or a related field
- Bachelor’s degree or equivalent combination of education and relevant work experience
- Knowledge of retail and retirement brokerage/advisory accounts, including required minimum distributions and federal and state tax requirements
- Awareness of operating in a regulated environment and the importance to adhere to policies, procedures, and supervisory controls
- A positive, service-oriented mindset with a commitment to continuous learning and adaptability to change
- Strong ability to multitask, collaborate, manage time, and stay organized effectively
- Demonstrated self-confidence with the ability to work independently and make timely, well-reasoned decisions
- High attention to detail with strong analytical and organizational skills
- Proven ownership and follow-through when reviewing workflows, exceptions, and anomalies, with the ability to offer practical solutions
- Ability to exercise discretion and independent judgment when handling sensitive information and situations
- Proficiency in Microsoft Outlook, Word, and Excel (preferred)
- Process and prioritize a wide range of client money movement requests including checks, Fed wires, journals, fee reversals, and incoming wires, adhering to established policies, controls, and regulatory requirements.
- Execute and oversee a high volume of client money movement activities, with primary focus on ACH standing and periodic instruction initiation, ensuring accurate setup, validation, and timely processing.
- Apply broad mastery of service and administrative functions, leveraging in-depth knowledge of complex product features and processing systems to resolve issues and exceptions.
- Serve as a point of contact for customer inquiries from Investment Advisers and other internal Guardian teams, providing clear guidance and issue resolution across multiple communication channels (phone, email, and Teams)
- Assist with peer-to-peer coaching and education related to routine, specialty, or complex product features or processing systems
- Meet or exceed defined quality, accuracy, and service-level agreements, demonstrating accountability and follow-through on assigned work
- Communicate with stakeholders across multiple platforms (phone, email, and Teams chats) to respond to and resolve outstanding items
$42,830.00 - $64,250.00
The salary range reflected above is a good faith estimate of base pay for the primary location of the position. The salary for this position ultimately will be determined based on the education, experience, knowledge, and abilities of the successful candidate. In addition to salary, this role may also be eligible for annual, sales, or other incentive compensation.
Our Promise
At Guardian, you’ll have the support and flexibility to achieve your professional and personal goals. Through skill-building, leadership development and philanthropic opportunities, we provide opportunities to build communities and grow your career, surrounded by diverse colleagues with high ethical standards.
Inspire Well-Being
As part of Guardian’s Purpose – to inspire well-being – we are committed to offering contemporary, supportive, flexible, and inclusive benefits and resources to our colleagues. Explore our company benefits at www.guardianlife.com/careers/corporate/benefits. Benefits apply to full-time eligible employees. Interns are not eligible for most Company benefits.
Equal Employment Opportunity
Guardian is an equal opportunity employer. All qualified applicants will be considered for employment without regard to age, race, color, creed, religion, sex, affectional or sexual orientation, national origin, ancestry, marital status, disability, military or veteran status, or any other classification protected by applicable law.
Accommodations
Guardian is committed to providing access, equal opportunity and reasonable accommodation for individuals with disabilities in employment, its services, programs, and activities. Guardian also provides reasonable accommodations to qualified job applicants (and employees) to accommodate the individual's known limitations related to pregnancy, childbirth, or related medical conditions, unless doing so would create an undue hardship. If reasonable accommodation is needed to participate in the job application or interview process, to perform essential job functions, and/or to receive other benefits and privileges of employment, please contact MyHR@glic.com. Please note: this resource is for accommodation requests only. For all other inquires related to your application and careers at Guardian, refer to the Guardian Careers site.
Visa Sponsorship
Guardian is not currently or in the foreseeable future sponsoring employment visas. In order to be a successful applicant. you must be legally authorized to work in the United States, without the need for employer sponsorship.
Current Guardian Colleagues: Please apply through the internal Jobs Hub in Workday.
