Job Title: Operations Specialist

Job Description

The Operations Specialist supports lead advisors in the execution of their daily business activities and helps deliver a high-quality client experience. This role combines client service, operational processing, and trading support, with opportunities to contribute to financial planning and firm growth. The Operations Specialist works closely with advisors, clients, and internal teams to ensure accurate, timely, and compliant handling of accounts, transactions, and documentation.

Responsibilities

• Support lead advisors in the execution of their business activities and day-to-day client service needs.
• Prepare client information, including portfolio details and related documentation, while maintaining positive, professional relationships with clients.
• Respond to client needs by managing account openings, preparing and processing forms, and performing account transactions as needed.
• Execute client requests such as Required Minimum Distributions (RMDs), money transfers, and other account-related actions accurately and on time.
• Answer and direct incoming phone calls to the appropriate contact, ensuring prompt and courteous communication.
• Execute trades of stocks, bonds, and mutual funds at the individual account level for clients and the firm, following established procedures and guidelines.
• Serve as a backup trader for batch-trading execution of advisory-program accounts when needed.
• Send and log critical documents using DocuSign and DocuPace software, maintaining accurate records and tracking completion.
• Open and process incoming mail, ensuring timely distribution and appropriate handling of client and firm documents.
• Run and email daily reports to advisors and relevant team members, supporting ongoing monitoring and operations.
• Complete recurring task lists and checklists to ensure consistent and reliable completion of operational responsibilities.
• Assist in the construction of financial plans by gathering data, organizing information, and supporting advisors with plan preparation.
• Utilize Bloomberg Report applications for basic economic research as requested by advisors or leadership.
• Facilitate a collaborative and team-oriented environment by communicating effectively and supporting colleagues as needed.
• Support the company’s recruiting process by assisting with coordination, communication, and onboarding-related tasks.
• Support the company’s growth goals by delivering excellent client service and contributing to efficient, scalable operations.
• Perform other duties as assigned to support clients, advisors, and the broader operations team.

Essential Skills

• Experience in operations or administrative support within a financial services or investment-related environment.
• Strong customer support skills with the ability to respond to client needs in a professional and timely manner.
• Proficiency with Microsoft Excel for data entry, reporting, and basic analysis.
• Accurate and efficient data entry skills, including the ability to transfer data between systems and maintain data integrity.
• Knowledge of brokerage operations, including account management, processing orders, and handling financial transactions.
• Experience with account management, including opening, maintaining, and servicing client accounts.
• Ability to process orders and transactions accurately, including trades, transfers, and distributions.
• Foundational understanding of financial planning concepts and processes.
• Preference for 4–6 years of investment industry experience or support experience.
• Strong organizational skills with the ability to manage recurring tasks and daily workflows in a fast-paced environment.
• Clear and professional verbal and written communication skills.
• Ability to work effectively in a team-oriented environment and support multiple advisors.

Additional Skills & Qualifications

• Bachelor’s degree (or equivalent) preferred but not required, depending on length and relevance of experience.
• Experience using electronic signature and workflow tools such as DocuSign and DocuPace.
• Experience executing trades in stocks, bonds, and mutual funds at the account level.
• Familiarity with advisory-program accounts and batch-trading processes.
• Experience using Bloomberg Report applications or similar tools for basic economic research.
• Prior experience supporting recruiting processes, such as scheduling, communication, and onboarding support.
• Demonstrated ability to adapt to changing priorities and handle multiple