About the position
The RIA Operations Specialist will serve as the expert on all aspects of our managed account model management and trading platform, as well as all associated custody, clearance, and order execution processing. The Operations Specialist will intimately understand how our Portfolio Administration Technologies, Envestnet and Orion, are used to facilitate a strategy, from proposal through to account investing. They will be expected to fully understand our policies and procedures around all aspects of advisory operations and be able to effectively communicate those to our IARs. The candidate will also work on various reports on a periodic basis which may include communication with different areas within the company. This role will be instrumental in contributing to the operation's broad approach to driving growth efficiency across the customer lifecycle.
Responsibilities
- Complete operational tasks related to New Accounts and Maintenance items in Pershing and Envestnet
- Demonstrate proficiency in service and administrative functions, with expertise in intricate service offerings and operational systems.
- Participate in our Quality Assurance program by reviewing processed items, reporting outcome and training according to documented procedures
- Develop, analyze, and maintain metrics for measuring
- Serve as point of contact for customer inquiries from our Investment Advisers, 3rd Party sponsors, and other internal Guardian teams
- Support peer-to-peer guidance and education in the areas of routine, specialty, or complex product knowledge or processing systems.
- Communicate with partners across various platforms(such as phone, email) to respond to and resolve outstanding items.
- Collaborate with various internal departments including: Compliance, licensing, operations, internal clearing firm, and 3rd Party Sponsors/Envestnet
Requirements
- 3 or more years of Advisory Operations industry experience
- College degree or equivalent work experience. Securities license preferred (Series 7 or 6)
- Knowledge of retail client onboarding/new account process and advisory products
- The skills for multi-tasking, collaboration with others, and excellent time management/organizational skills
- Possess a high degree of self-confidence, work independently and have rapid decision-making ability. Must demonstrate strong and analytical and organizational skills.
- Demonstrate ownership and follow through when reviewing workflows, exceptions and anomalies and offer practical solutions.
- Proficiency in Outlook, Microsoft Word and creating Excel spreadsheets and PowerPoint presentations is preferred.
Nice-to-haves
- Experience in the managed account space, specifically with Envestnet or Orion systems
- Experience with Pershing, Fidelity or Schwab custodial systems
Benefits
- Support and flexibility to achieve professional and personal goals
- Skill-building and leadership development opportunities
- Philanthropic opportunities
- Contemporary, supportive, flexible, and inclusive benefits and resources
