What are the responsibilities and job description for the Client Service Ops Specialist, Doc Management/Mailroom position at Equity Trust?
- This position will report to our Westlake, OH office and requires a full-time, in-office schedule.
JOB OVERVIEW
The Specialist, Document Management & Safekeeping is responsible for maintaining superior document management, security, and safekeeping of all physical and electronic documents and client assets. Ensures the creation of digital records through the workflow system for all client and internal requests received via physical mail, fax, or email. Operating in a fast-paced environment, the specialist processes and reviews high volumes of incoming and outgoing correspondence, categorizes and scans documents with precision, and manages the secure storage and cataloguing of original documents in the vault. Critical to the role is ensuring physical assets are properly safeguarded, documents are scanned and housed appropriately, periodic vault audits are conducted to verify inventory accuracy, and that physical holdings reconcile with data in the recordkeeping system to maintain custodial integrity and compliance.
RESPONSIBILITIES & DUTIES:
- Picks up all incoming mail at the post office and process by opening, sorting, and maintaining statistics of volumes.
- Processes all incoming and outgoing client correspondence in a timely and efficient manner, forwarding when appropriate.
- Categorizes high volumes of incoming checks based on asset and income type and scan into the workflow system.
- Researches client account information to ensure accurate processing of all request documents including account opening and maintenance, investments, distributions, deposits, and other internal forms.
- Indexes required information into workflow system based on specific parameters for each form type, department, and line of business.
- Manages assigned email or fax lines, initiating workflow or adding documents into existing work items for processing.
- Reviews, files, and safekeep original documents and physical assets on behalf of clients in the secure vault facility.
- Ensures all documents and assets are organized, accurate, titled correctly, and current according to established protocols.
- Maintains strict security and chain of custody procedures for all physical assets entering and exiting the vault.
- Scans images and documents for storage into client electronic account records, ensuring quality and completeness.
- Performs periodic vault audits to verify physical inventory against recordkeeping system data and reconcile discrepancies.
- Investigates and resolves discrepancies between vault contents and recordkeeping data, escalating issues as appropriate.
- Assists with the annual safekeeping vault inventory process to fulfill custodial responsibilities for adequate oversight and recordkeeping.
- Follows assigned work schedule with regular and predictable attendance.
- Performs other duties as assigned.
QUALIFICATIONS:
- High School Diploma or equivalent required.
- Associate’s degree preferred.
- Minimum 1 year of data entry and/or document management experience preferred.
- Minimum 1 year experience in a fast paced, customer driven environment preferred.
- Experience with vault management, records management, or physical asset safekeeping preferred.
- Understanding of document retention and destruction policies.
- Ability to maintain confidentiality and handle sensitive information with discretion.
- In person interaction that includes actively collaborating with colleagues and participating in team or company meetings.
PROFESSIONAL CERTIFICATIONS:
- None required.
TECHNICAL SKILLS:
To be successful in this role, you should have experience with and an understanding of the following:
- Basic to intermediate level proficiency in Microsoft Office products (Excel, Word, Outlook).
- Experience with document scanning technology and workflow systems.
- Intermediate 10-key skills.
- Ability to type at least 45 WPM preferred.
CULTURAL COMPETENCIES:
In addition to our core company competencies of Excellence, Passion, Integrity, and Collaboration, a successful candidate in this role should exhibit the following behavioral competencies:
- Attention to Detail & Quality Focus: Maintains exceptional accuracy in document indexing, filing, and vault management, catches errors during audits, and ensures high standards for scanning quality and organization.
- Accountability & Integrity: Takes ownership of vault integrity and document security, handles sensitive client documents with discretion, and maintains strict adherence to security and compliance protocols.
- Organization & Efficiency: Manages multiple tasks and high document volumes systematically, maintains orderly vault and filing systems, and prioritizes work effectively to meet service level agreements.
- Problem Solving & Adaptability: Identifies and resolves discrepancies between physical inventory and system records, adjusts to fluctuating mail volumes and changing priorities, and embraces new systems and technologies.
- Collaboration & Dependability: Works effectively across departments to fulfill document requests, consistently meets deadlines and service level agreements, and demonstrates reliable attendance in fast-paced environment.
PHYSICAL DEMANDS/WORK ENVIRONMENT
This job operates in a professional office environment, which may include a corporate office setting or a remote/home office environment, and routinely uses standard office equipment and technology such as computers, phones, printers, and video conferencing tools. While performing the duties of this job, the associate is regularly required to communicate effectively, including speaking, hearing, and participating in virtual meetings on camera. The associate is frequently required to sit for extended periods of time, as well as occasionally stand, walk, use hands and fingers, and reach with hands and arms. This job may require the ability to lift files or office materials, open filing cabinets, and bend or stand on a stool as necessary. Remote associates are expected to maintain a safe, secure, and productive work environment with reliable internet access.
DISCLAIMER/ASSOCIATE ACKNOWLEDGEMENT
The above statements describe the general nature and level of work only. They are not an exhaustive list of all required responsibilities, duties, and skills. Other duties may be added, or this description amended at any time.
Equity Trust Company is an equal opportunity at will employer and does not discriminate against any employee or applicant for employment because of age, race, religion, color, disability, sex, sexual orientation, or national origin.
About Equity Trust:
Equity Trust empowers individual investors and financial professionals by removing the barriers to investment freedom. As an IRS approved custodian, we fulfill the custodial and administrative duties required for each type of investment account our clients hold.With an Equity Trust account, clients have the opportunity to invest in alternative assets such as real estate, precious metals, private equity, and more. Additionally, clients can invest in traditional assets such as stocks and mutual funds – all through a single custodian.As an industry-leading custodian of alternative assets in tax-advantaged accounts, our 45-year* track record of excellence is unmatched in the industry. Equity Trust streamlines the investment experience by offering optimized solutions, processes, and service.As a directed custodian, Equity Trust does not provide tax, legal or investment advice, nor do we offer or sponsor any proprietary investment products.
Benefits:
Health Insurance, 401K Plan, Vacation & Paid Time Off