Operations Specialist

Position Overview: The role of Operations Specialist supports the firm’s financial advisors and financial planning process by providing ongoing service/maintenance to clients.  The Operations Specialist will serve as an in-house expert on client issues.  This individual will assist with the daily functions of a fast-paced, multi-priority area.  They must be reliable, organized, deadline driven, and client service focused.  A qualified applicant must be dedicated, goal oriented, and able to work well in a self-directed and collaborative environment.

Required Skills and Abilities

  • Attention to detail and organization
  • Effective written and verbal communication with clients, staff, custodian(s), and performance reporting vendors
  • Process oriented
  • Ability to prioritize tasks and work in a deadline-driven environment

Essential Duties and Responsibilities

  • On-board new clients
    • Open new accounts, including connecting outside assets if applicable
    • Manage account transfers
    • Reconcile account assets
  • Support advisor in delivery of custodian and investment paperwork/forms to client and follow up work
  • Organize and monitor workflow required to service client portfolios
  • Knowledge of CRM systems
  • Knowledge of laser fiche/scanning systems
  • Conduct trading responsibilities
    • Daily processing trade executions and follow up
    • Daily review and revision of specified accounts
    • Act as liaison with custodian(s) and performance reporting vendor, as required
    • Monitor cash flows in/out
  • Manage client billing process
  • Participate in the communication of ongoing client service needs
    • Respond to client calls regarding account activity
    • Make outgoing client courtesy calls
    • Query clients for updated information pending annual and semiannual reviews
    • Intake of applications and forms as needed
    • Participate in clients meetings as a note taker as needed
  • Prepare, monitor, and review client quarterly statements
  • Manage our relationship with performance reporting service provider to ensure quality statements are produced in a timely fashion and that usable reports are available to advisors.
  • Assist in research, coordination, and maximization of vendor and external resource providers
  • Full utilization of all technological systems
  • Participate in team meetings
  • Participate in annual business planning strategy session as requested
  • Assist with phone coverage as needed

Educational and Experience Requirements and Preferences

  • Bachelor’s degree required
  • 3 years of financial planning/investment experience
  • Coursework towards Financial Paraplanner Qualified Professional (FPQP), preferred 
  • Proficiency with MicroSoft Office suite, especially Excel

Physical Job Requirements: (for essential functions only)

  • Bending/ Kneeling:  Ability to bend to lower-level cabinets.  Bend to files in cabinet as needed.
  • Continuous Sitting:  Ability to sit for up to 8 hours a day at desk working on computer.