Wealth Ops Lead Specialist- Business Support

Citizens • Johnston, RI

11h • Onsite

About The Position

As the Wealth Operations Team Lead- Business Support, you will assist in the supervision and coaching of specialists, thus ensuring a high level of service is delivered within all Wealth Management operations departments.
Primary responsibilities include
Ensure Financial advisor/client requests, inquiries and concerns are handled efficiently and effectively with prompt and accurate resolution.
Provide direction, clarity, and coaching when needed.
Ensure SLAs are maintained by continuously monitoring workflow queues.
Identify trends and make recommendations for improvement.
Serve as a resource in the resolution of complex issues/problems.
Provide assistance to staff, including performing in-line controls and regulatory supervision.
Ensure adherence to all policies and regulatory requirements.
Develop and implement procedural guides; perform regular reviews to ensure that they are up to date; communicate any changes that are implemented.

Requirements

• FINRA Series 7 and 63 Licenses required.
• FINRA Series 24 required, or ability to obtain within 90-days of joining.
• 1+ years prior back-office Wealth Management Sales, Operations or Contact Center experience required.
• Positive and customer-focused mindset
• Strong listening and problem-solving abilities, persistent enthusiasm when interacting with customers.
• Strong verbal and written communication skills
• Goal oriented professionals with an interest Wealth Management and Investment Products
• Detail oriented with a strong sense of urgency.
• Ability to learn and understand various Computer Based systems – Salesforce, Mainframe, etc.
• Completed High School degree or GED Equivalent

Nice To Haves

• Demonstrated successful stable work history.
• Completed associates and/or bachelors college degree.
• 1+ years of financial service operational experience

Responsibilities

• Ensure Financial advisor/client requests, inquiries and concerns are handled efficiently and effectively with prompt and accurate resolution.
• Provide direction, clarity, and coaching when needed.
• Ensure SLAs are maintained by continuously monitoring workflow queues.
• Identify trends and make recommendations for improvement.
• Serve as a resource in the resolution of complex issues/problems.
• Provide assistance to staff, including performing in-line controls and regulatory supervision.
• Ensure adherence to all policies and regulatory requirements.
• Develop and implement procedural guides; perform regular reviews to ensure that they are up to date; communicate any changes that are implemented.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: High school or GED