Lead Service Operations Specialist
About The Position
As a Lead Service Operations Specialist, you will serve as a business analyst and process optimization leader for Brokerage Operations. You will identify opportunities to improve operational efficiency, document business requirements, support technology modernization initiatives, analyze operational processes, and drive continuous improvement. You will partner with Operations, Technology, Risk, Compliance, and other business stakeholders to streamline processes, reduce manual effort, strengthen controls, and enhance the client and advisor experience. The position can be based in the Minneapolis, Charlotte, or Las Vegas office. Employees work in the office at least four days per week, with flexibility to work from home one day per week. Some roles may require additional in-office time or different in-office expectations, which will be discussed during hiring.
Requirements
- Associate degree or equivalent experience.
- 5 to 7 years of experience in operations, business analysis, process improvement, or related disciplines.
- Strong analytical and problem-solving skills.
- Experience documenting business requirements and process workflows.
- Ability to effectively communicate with both business and technology stakeholders.
- Strong organizational and project coordination skills.
- Valid work authorization that does not now or in the future require visa sponsorship for employment in the United States.
Nice To Haves
- Bachelor's degree or equivalent experience.
- Active FINRA license (Series 99 or Series 7), or interest in obtaining one.
- Experience in Brokerage, Clearing, Custody, Trust, or Financial Services Operations.
- Experience supporting operational modernization or transformation initiatives.
- Knowledge of Agile delivery methodologies.
- Lean Six Sigma certification or continuous improvement experience.
- Experience with user acceptance testing (UAT) and business system implementations.
- Familiarity with operational risk management and control environments.
Responsibilities
- Analyze operational workflows to identify inefficiencies, bottlenecks, control gaps, and automation opportunities.
- Facilitate process mapping, root cause analysis, value stream reviews, and workflow redesign activities.
- Develop recommendations to improve scalability, quality, productivity, risk management, and service outcomes.
- Support Lean, Six Sigma, and continuous improvement initiatives.
- Measure and report on the results of process improvement initiatives.
- Gather, document, and prioritize business requirements for operational enhancements and modernization initiatives.
- Create business requirements, user stories, process flows, decision trees, and operational procedures.
- Partner with technology teams throughout solution design, development, testing, and implementation.
- Ensure business requirements align with regulatory, operational, and customer experience objectives.
- Support change impact assessments and implementation planning.
- Analyze operational metrics, volumes, trends, and performance indicators.
- Develop reporting and dashboards that provide actionable operational insights.
- Monitor key performance and risk indicators to identify emerging opportunities or issues.
- Present findings and recommendations to leadership.
- Support operational and technology projects from inception through implementation.
- Coordinate testing activities, including creation of test scenarios and execution support.
- Assist with training, communication, and adoption activities for new processes and systems.
- Track project actions, decisions, risks, and dependencies.
Benefits
- Vacation time
- Sick time
- 401(k)
- Health insurance
- Dental insurance
- Life insurance
- Variable pay may include bonuses, commissions, and/or long-term incentives, depending on the role.
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What This Job Offers
Job Type
Full-time
Career Level
Senior
Education Level
Associate degree
