Operations Specialist
About The Position
As an Operations Specialist, you will play a crucial role in supporting lead advisors by executing business activities and ensuring seamless operations. Your responsibilities will include preparing client information, maintaining positive client relationships, and responding to client needs through managing account openings, processing forms, and executing transactions. You will handle client requests, execute trades, and serve as a potential backup trader for batch-trading execution. Additionally, you will manage critical documents using DocuSign and DocuPace, process mail, run daily reports, and assist in financial plan construction. You will also engage in basic economic research and contribute to a collaborative and team-oriented environment, supporting the company's recruiting process and growth goals.
Requirements
- Experience in operations and customer support.
- Proficiency in Microsoft Excel and data entry.
- Experience in brokerage operations and administrative support.
- Ability to transfer data and manage accounts.
- Experience in processing orders and financial planning.
Nice To Haves
- Bachelor’s Degree (or equivalent) preferred.
- Preference for 4-6 years of investment industry experience.
- Preference for holding FINRA licenses.
- Ability to pass the SIE exam within 3 months of hire.
- Ability to pass the Series 7 exam within 3 months of completing SIE.
- Ability to pass the Series 66 exam within 3 months of completing Series 7.
Responsibilities
- Prepare client information and maintain positive relationships with clients.
- Manage account openings, prepare and process forms, and execute transactions as needed.
- Execute client requests including Required Minimum Distributions (RMDs) and Money Transfers.
- Answer and direct phone calls to the appropriate contact.
- Execute trades of stocks, bonds, and mutual funds at an individual account level.
- Serve as a potential backup trader for batch-trading execution of advisory-program accounts.
- Send and log critical documents via DocuSign and DocuPace software.
- Open and process mail.
- Run and email daily reports.
- Complete recurring task lists.
- Assist in financial plan construction.
- Utilize Bloomberg Report applications for basic economic research.
- Facilitate a collaborative and team-oriented environment.
- Support the company's recruiting process and growth goals.
- Perform other duties as assigned.
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
Number of Employees
1,001-5,000 employees
