Broker Dealer Operations Administrator

BCG Securities, a subsidiary of Horace Mann is seeking a detail-oriented and customer-focused Broker Dealer Operations Administrator to join our Broker-Dealer Operations team. In this role, you'll play an integral part in supporting our registered representatives and ensuring operational excellence across account administration, asset movement, and regulatory compliance.

As a trusted operational partner, you'll help facilitate the onboarding of new clients, manage account maintenance activities, and collaborate with internal teams and our clearing firm to deliver a seamless advisor and client experience. If you thrive in a fast-paced, highly regulated environment and enjoy solving problems while supporting financial professionals, we'd love to hear from you.

Key Responsibilities

Broker-Dealer Operations

• Process operational requests including asset movements, account transfers, and account maintenance activities.
• Assist registered representatives with client onboarding, account setup, and operational support.
• Monitor pending requests, follow up on outstanding documentation, and escalate issues when appropriate.
• Partner with our clearing custodian to resolve account transfer and transaction-related inquiries.

Regulatory Compliance & Administration

• Ensure operational activities comply with FINRA, SEC, and company regulatory requirements.
• Support internal audits, reporting requirements, and recordkeeping obligations.
• Maintain accurate documentation and operational records in accordance with regulatory standards.
• Handle confidential client and company information with the highest level of professionalism and discretion.

Customer & Advisor Support

• Build strong working relationships with registered representatives by responding to operational inquiries and providing timely guidance.
• Deliver exceptional service by resolving operational issues efficiently and accurately.
• Communicate effectively with internal departments, business partners, and external vendors to facilitate timely resolution of requests.

Process Improvement & Operational Excellence

• Coordinate with department leadership to maintain efficient workflows and service levels.
• Identify opportunities to improve operational processes, increase accuracy, and enhance the advisor experience.
• Participate in special projects related to broker-dealer operations, regulatory initiatives, system enhancements, and business process improvements.
• Perform additional duties and responsibilities as assigned.

Qualifications & Experience

Required

• Business degree or equivalent professional experience required.
• Must obtain FINRA Securities Industry Essentials (SIE) and Series 7 licenses within six months of hire.
• Strong organizational skills with the ability to manage multiple priorities in a fast-paced environment.
• Ability to handle confidential information with discretion and professionalism.
• Ability to work independently while maintaining strong collaboration with team members.

Skills & Competencies

• Strong customer service and relationship management skills.
• Excellent verbal and written communication skills.
• High attention to detail and commitment to operational accuracy.
• Strong analytical and problem-solving abilities.
• Ability to identify opportunities for continuous process improvement.
• Adaptability and ability to manage multiple projects simultaneously.

Additional Information

• Normal office environment – hybrid 3 days a week in office.
• Periodic travel may be required.

Pay Range:

• $21.44- $29.16/hr.

Salary is commensurate to experience, location, etc.