RESTRICTED: Operations Specialist

The Vanguard Group•Malvern, PA

7d•Hybrid

About The Position

This role is restricted to the Incoming Transfer of Assets Crew only. The Operations Specialist will interpret, research, and process complex client requests on our mutual fund and brokerage platforms. They will consistently follow policies and procedures, independently utilize systems and resources, and exhibit a sense of urgency and accountability for the client experience. The specialist will own and resolve client or stakeholder inquiries with a logical, systematic approach, collaborating with peers and business partners to enhance the client experience. They will leverage online resources and past experience to meet challenges and provide viable alternative solutions. The role requires full proficiency in brokerage and mutual fund functions, maintaining a balance between quality and productivity to meet department standards. The specialist will serve as a Subject Matter Expert, assisting with coaching and supporting peers. Communication with clients, both verbally and in writing, is crucial for clarifying paperwork and capturing instructions accurately, while adhering to all FINRA, SEC, and Vanguard internal policies. Active participation in a lean management culture, including huddles and problem-solving, is expected. The role involves prioritizing work, supporting business needs, and demonstrating an interest in financial markets and Vanguard products. Staying current with procedural updates and technology enhancements, and participating in special projects are also key aspects of the position.

Requirements

Currently working within Incoming Transfer of Assets.
Undergraduate degree or equivalent combination of training and experience.
Minimum of two years general experience and one year industry/technology.
Demonstrated client relationship management experience.
Strong problem resolution and time management skills.
Outstanding positive attitude with ability and willingness to effectively work within a team environment.
Demonstrated ability to work in a high volume situation with time constraints and to adapt within a fluid work environment.
Ability to prioritize and handle multiple tasks in a rapidly changing brokerage environment.
Working knowledge of Microsoft Office and PCs.

Nice To Haves

Lean management knowledge

Responsibilities

Interprets, researches and processes more complex client requests on our mutual fund and brokerage platforms.
Consistently follows policies and procedures for completing work while independently utilizing systems and resources effectively.
Exhibits a sense of urgency and accountability for the client experience.
Attends trainings and proactively seeks opportunities to develop lean management knowledge.
Owns and resolves client or stakeholder inquiries while demonstrating logical, systematic approach to problem solving.
Collaborates with peers and business partners to continually enhance the client experience.
Leverages online resources and past experience to independently meet challenges and provide viable alternative solutions as needed.
Identifies trends and escalates critical issues for timely communication and improved self-provisioning of business partners.
Leverages appropriate delegates, crew resources (i.e. Crew Champion) to seek accommodations.
Demonstrates full proficiency in all brokerage and mutual fund functions designated under respective training path.
Maintains balance between quality and productivity to meet department standards.
Serves as a Subject Matter Expert to the business and assists with coaching and supporting peers in completing client requests.
Adheres to standard work/workflows, vocalizes opportunities to improve upon it.
Actively suggests enhancements to processes.
Communicates both verbally and in written format with clients to clarify incomplete or invalid paperwork.
Mitigates risk by accurately capturing client instructions, conveying details and providing clarification for each event.
Incorporates the six Client Relationship Management (CRM) skills into internal and external client interactions.
Complies with all Financial Industry Regulatory Authority (FINRA), Securities and Exchange Commission (SEC) and Vanguard internal policies regarding client contact.
Actively participates in lean management culture (i.e. huddles, problem solving, staff meeting, and trainings).
Prioritizes work and provides flexibility to support business needs.
Demonstrates a general awareness of the current business environment.
Demonstrates an interest in the financial markets and brokerage environment.
Understands Vanguard products including, but not limited to, fund minimums, additional purchase limits, and closed funds.
Stays current following procedural updates or technology enhancements.
Assists with reviewing procedures and recommends revisions.
Participates in conversations around individual and team targets during huddle board conversations, and consistently updates goals in a timely fashion.
Participates in special projects and performs other duties as assigned.