Operations Specialist

We are hiring for a Operations Specialist - Level 1.

Position Overview

The Operations Specialist will be responsible for maintaining and developing systems that enhance workflow and client relations and will be focused on efficiency, productivity, and an exceptional client experience. Operations Specialists (all levels) require mature customer relationship skills to handle non-advisory questions and concerns from clients. Excellent communication abilities are essential.

Duties of the Operations Specialist may include, but are not limited to: regular interaction with clients, paperwork management, advisory meeting preparation & follow-up, staff meeting preparation & follow-up, asset transfer management, money movement, placing trades, bookkeeping, and other office administrative duties as necessary. It does not require advisory knowledge, but this position does require a basic understanding of technical financial planning and investment management processes and procedures. This position does not always attend advisory meetings, but handles the vast majority of the non-advisory follow up and back office paper work needing completion.

General Support

• Supports senior team members by helping prepare materials needed for client meetings and follow-ups
• Assist client and advisory team with all non-advisory questions and paperwork such as, processing all forms and applications including, opening accounts, account address change, and other online applications necessary to process clients’ business transactions
• Generate month-end and year-end client reports and deliver to clients.
• Maintain CRM software and contact management database to keep current for sorting, reporting, scheduling, fee tracking and marketing purposes
• Track client service issues and new business transactions in progress and report on a weekly basis.
• Handle all non-advisory tasks for the professional advisory team

Client Service

• Answers basic questions for clients or fields client calls to appropriate colleagues
• Assists with client requests for transfers of funds in and out of accounts
• Enters or updates cost basis information
• Fills out necessary forms for opening or maintaining accounts
• Interfaces with the custodian to obtain information or account data and conveys service requests
• Sets up and retrieves reports in the portfolio management system
• Assists in generating performance reports

Level 1 Operations Specialist

Data entry, phone answering, scanning and filing, emails, scheduling appointments, greeting clients, data entry into CRM and reactive client relationship tasks.

Level 2 Operations Specialist

Proficient in all Level 1 tasks; Series 65 licensure required, completing client paperwork, using confidential data and using less than 20% of time in one area of acquired skills

Level 3 Operations Specialist

Proficient in all Level 2 tasks; Ability to train new client services staff, learning leadership and using over 20% of time in acquired specialties.

Level 4 Operations Specialist

Proficient in all Level 3 tasks; demonstrated leadership abilities; familiar with all acquired specialties; able to lead committees for special projects.

Areas of Acquired Specialties

Operations Specialists can acquire specialties in specific areas of business operations, based on their interests and the needs of the firm:

• Bookkeeping
• Compliance
• Marketing
• Human Resources
• Technology
• Portfolio Management & Trading
• Financial Planning Data Entry
• Trust Representative Services Operations

Promotion Considerations

• Ability to independently & accurately complete tasks
• Ability to problem solve when problems arise while completing tasks
• Ability to see processes through to completion from beginning to end
• Able to communicate with clients to obtain necessary information
• Understands how to work as part of the team and effectively communicates with managers, Advisors, and other Operations Specialists
• Mastery of All 4 Levels of the Position

The career path for a Operations Specialist is typically within business operations, with opportunities existing for them to grow in a specialty or by managing others.