Ally Financial Operations Associate in Charlotte, North Carolina

Customer Care

Oct 7, 2016


Position Description

As the company positions itself for growth, we are seeking a Brokerage Operations Associate with excellent organizational skills and who is comfortable working in a fast paced, multi-tasked, high pressure, securities market environment.

This role will perform various functions to help process and support our firms' staff and clients. The candidate will be engaged in a variety of daily tasks including cashiering and funds movement, New Accounts, ACAT's, etc. The candidate will be responsible to ensure accurate record keeping, and will rely on established guidelines to perform their daily functions. This role will work closely with Compliance to assist that department on special projects. Direct interaction with clients, other brokers and internal support staff will be a part of the candidate's everyday routine.

Job Responsibilities

  • Perform a variety of operations functions following pre-established procedures
  • Ensure accurate record keeping in order to keep the firm compliant
  • Remain current on internal work processes, procedures, and product knowledge
  • Efficiently complete daily responsibilities ensuring clients information is updated and correct
  • Field and respond to clients inquiries and issues via phone calls, emails, and faxes with minimal supervision and with the highest level of customer service and integrity
  • Prioritize multiple functions based on client and firms needs
  • Follow instructions and guidelines to perform responsibilities to industry standards
  • Receive, sort, and file correspondence
  • Other duties as assigned or required
  • Ability to work with brokerage desktop applications such as quote terminals
  • Must be able to work overtime if required on short notice


  • Good understanding of financial/brokerage/trading services industry or equivalent operations processing knowledge
  • 2-3 years customer service experience
  • 1-2 years in financial services industry experience preferred
  • Willingness to obtain FINRA Series 7 and 63 licenses is required within 90-120 days
  • Ability to work well with others, multi-task and handle issues while working under time constraints
  • Ability to work in high-pressure environment with strict SLA's and deadlines
  • Results oriented with good organizational skills including attention to detail and accuracy
  • Excellent oral and written communication and strong desire to provide an exceptional customer experience
  • Demonstrated experience in handling client concerns and issues with tact and diplomacy
  • Able to exercise independent thought and judgment and adapt to new tasks with little notice
  • Microsoft Office skills including (Word, Outlook, Excel)
  • A variety of internal trading systems are used so ability to learn quickly is important
  • Knowledge of/or experience working in financial services and/or other regulated environments is a plus
  • BS in Finance/Economics/Business Administration or those with general financial services/industry or equivalent experience will be considered
  • The job requires focused visual concentration in deciphering data and other information from computer

Ally Overview

Ally Financial Inc. (NYSE: ALLY) is a leading digital financial services company and a top 25 U.S. financial holding company offering financial products for consumers, businesses, automotive dealers and corporate clients. Ally's legacy dates back to 1919, and the company was redesigned in 2009 with a distinctive brand, innovative approach and relentless focus on its customers. Ally has an award-winning online bank (member FDIC), one of the largest full service auto finance operations in the country, a complementary auto-focused insurance business, a growing digital wealth management and online brokerage platform, and a trusted corporate finance business offering capital for equity sponsors and middle-market companies.

Business Unit/Enterprise Function

TradeKing Group, Inc. ( consists of companies that provide online brokerage services, education and social collaboration channels for investors, and more. Its subsidiary, TradeKing Securities, LLC, is a nationally licensed online broker/dealer dedicated to empowering the independent, self- directed investor. TradeKing Advisors, Inc. is an SEC registered investment advisor. Brokerage accounts are serviced and securities offered through TradeKing Securities, LLC, member FINRA and SIPC.

Total Rewards Information

Ally's compensation program offers market-competitive base pay and bonus pay potential based on achieving personal and company goals. Plus, we have a flexible paid time-off program with an emphasis on work-life balance.

Ally offers a variety of benefits to protect your health and well-being, provide financial security and balance your work-life needs including:

  • Industry-leading 401K Retirement Savings Plan including Matching and Company Contributions
  • Comprehensive wellness program with financial incentives designed to help you achieve your best health
  • Flexible health insurance options including dental and vision
  • Pre-tax Health Savings Account with generous employer contributions
  • Pre-tax dependent care and commuter benefits
  • Other work-life integration benefits including Paid Parental & Caregiver Leave, Adoption Assistance, Back-up Child & Adult/Elder Care, Child Care Discounts, Tuition Reimbursement, LifeMatters Employee Assistance Program, Weight Watchers and other employee discount programs

Ally is an Equal Opportunity Employer

We extend equal employment opportunities to qualified applicants and employees on an equal basis regardless of an individual's age, race, color, sex, religion, national origin, disability, sexual orientation, gender identity or expression, pregnancy status, marital status, military or veteran status, genetic disposition or any other reason protected by law.



AVAILABLE WORK LOCATIONS: North Carolina (Charlotte)