Operations Specialist

Are you looking for a career where you can grow, thrive, and make a difference? Our client, a fast-growing financial services firm, is seeking an enthusiastic, detail-oriented individual who thrives on getting things done. We are looking for someone who is client-focused, organized, and able to balance speed with accuracy while managing multiple responsibilities.

Operations Specialist

Key Duties & Responsibilities

Custodian Support

• Prepare and process paperwork including account openings, transfers, and changes.
• Manage service requests, client distributions, contributions, and account closures.
• Troubleshoot account issues by working with custodians, third-party providers, and clients.
• Track and monitor account requests in process.
• Maintain client portals with custodians.

Operations

• Act as a liaison between the firm, clients, custodians, and providers.
• Prepare paperwork for weekly service meetings and process follow-up activities.
• Manage CRM software and update client records.
• Handle 401k rollovers, Roth IRA conversions, and required minimum distributions.
• Track new assets under management, client metrics, and business reporting.
• Assist with hiring, onboarding, and training of new employees.
• Write and update policies and procedures.
• Perform research and support manager meetings.

Administrative Activities

• Handle phones, mail, document scanning, and scheduling.

Trading Activities

• Enroll, trade, and reallocate investment accounts as recommended.
• Prepare investment proposals.

Insurance Activities

• Request new insurance quotes and process applications.
• Support clients through underwriting.

Advisor Support

• Assist advisors with licensing, registration, and training schedules.

Events

• Help plan, schedule, and coordinate client and marketing events.

Other

• Support additional tasks and projects as assigned.

Job Requirements

• Minimum

  5+ years of administrative/operations experience

  in a financial or investment firm.
• Bachelor’s degree in Finance
• Strong organizational and customer service skills.
• Excellent written and verbal communication.
• Ability to multitask, prioritize, and manage deadlines.
• Experience in financial services is an advantage.
• Proven record of professionalism, ethics, and reliability.
• Strong decision-making skills and ability to work independently as well as in a team.

Software Knowledge

Experience with the following is highly desirable:

Redtail, VeoOne, Adhesion, eMoney, Riskalyze, Microsoft Office (Excel, Word, PowerPoint, Teams), Google Suite (Docs, Sheets, Forms), RoboForm, Guru, Precise FP.

About the Client

Our client is a boutique wealth management firm that has been serving clients since 2007. They specialize in retirement planning, investment management, and business planning for high-net-worth clients and business owners.

As an independent firm, they provide access to unique investment opportunities including alternative investments, private real estate portfolios, and world-class institutional managers.

This position is being recruited on behalf of our client.