The primary objective of this role is to deliver an outstanding C&F experience to Wealth Management clients. The Operations Specialist supports our investment consultants acting as the primary liaison between our firm and our broker/dealer
Essential Duties and Responsibilities: % of Time
§ Provides primary support for assigned representatives
§ Acts as primary liaison between investment consultants and broker/dealer
§ Opens investment accounts as directed by investment consultants
§ Processes customer transactions and account servicing requests (contributions, distributions, inquiries, account maintenance, etc.) in a timely fashion
§ Maintains investment consultants schedules
§ Maintains client and compliance files in accordance with LPL policies
§ Greets all clients (on phone and in person)
§ Ensures positive customer experience through proactive contacts
§ Assists clients with forms and paperwork
Research and Reporting
§ Performs cost basis research on client accounts as necessary
§ Assists with client proposal generation
§ Pulls, creates, or updates reports as needed
Special Projects/Other Duties
§ Assists with special projects and other duties as assigned
Knowledge: 1-2 years of investment or financial services experience required with previous investment-related experience preferred. Previous investment administrative and/or operations experience desired. Demonstrated understanding of operations concepts and principles required.
Skills: Strong interpersonal, organizational, time management, communication, problem-solving, and computer skills are required.
Abilities: Must be able to manage time wisely, yet have the flexibility to step outside of a typical routine to handle unexpected situations. Able to communicate effectively with people at all levels; use typical office equipment; able to comprehend concepts and put them into practical application.
Education: HS diploma or GED is required; Associate’s degree is preferred; a combination of experience and education will be considered. Passing the FINRA Series 7 licensure examination within 1 year of hire is required.
Physical demands: Employee may experience the following physical demands for extended periods of time: view computer monitors, keyboarding, sitting, motion of fingers/hands/wrists, and standing/walking; occasional lifting, carrying, pushing or pulling up to 20 pounds.
Work Environment: Work is performed in an operational office environment.