Operations Specialist - Impact Financial Group

Impact Financial Group•Indianapolis, IN

23d

About The Position

Step into an instrumental role. Work as an employee of an independent advisor franchisee with a financial advisory practice of Ameriprise Financial. As an Operations Specialist, you will play a key role in delivering a distinctive client experience that sets our practice apart. We are a dynamic team of professionals dedicated to “Clients First” - engaging, informing, and empowering so that they can confidently navigate life's journey. The Operations Specialist partners with the Operations Trading Specialist to serve as a cross-trained resource for trading and investment operations. This role focuses on delivering operational excellence through workflow management, client service support, account administration, and reporting.

Requirements

Two or more years of experience in financial services, operations, client service, or related field.
Proficiency with CRM systems, Microsoft Office applications, and financial services technology platforms.
Commitment to ongoing financial services and industry education.

Nice To Haves

Bachelor's Degree preferred.
Working knowledge of brokerage, advisory, and financial planning operations preferred.
Series 7 and Series 66 (or willingness to obtain) preferred but not required.

Responsibilities

Crosstrain on trading, discretionary account management, and investment operations processes.
Execute trades, implement account rebalances, process money movement requests, and support portfolio implementation in accordance with advisor direction and firm procedures.
Monitor incoming funds, ACAT transfers, periodic arrangements, and other investment related transactions.
Perform quality control reviews and operational documentation related to trading and investment activities.
Provide back-up support for the Operations Trading Specialist during absences, periods of increased volume, or as business needs require.
Support client onboarding, account opening, and account maintenance activities.
Prepare and process paperwork for client requests, including beneficiary changes, address updates, transfers, distributions, and account servicing.
Assist with money movement requests and ensure timely and accurate processing.
Maintain documentation and records in accordance with Ameriprise and firm requirements.
Follow up proactively on outstanding items to ensure a positive client experience.
Manage daily operational workflows and service requests through CRM and Ameriprise systems.
Monitor task queues, alerts, and operational reports to ensure timely completion of activities.
Coordinate administrative processes across advisors and support team members.
Identify opportunities to improve operational efficiency and enhance team productivity.
Assist with business continuity, operational projects, and process documentation.
Adhere to Ameriprise Financial policies, firm procedures, and regulatory requirements.
Maintain complete and accurate documentation for operational activities.
Protect client confidentiality and ensure secure handling of sensitive information.
Support audits, compliance reviews, and operational controls as required.
Collaborate with advisors, operations personnel, and corporate partners to support client needs.
Provide operational support for advisor initiatives, meetings, and client service activities.
Serve as a resource for team members regarding procedures, workflows, and operational best practices.
Support office-wide initiatives and special projects as assigned.
Generate and maintain operational, client service, and business reports.
Assist with data analysis, quality control reviews, and reporting needs for advisors and leadership.
Verify accuracy of account information, transactions, and operational records.
Support maintenance of client and business data across systems.