Operations Specialist

Summary

Financial Services firm seeks a highly energized and confident individual who will thrive in a busy environment to serve as an Operation Specialist. Candidate must be extremely professional in appearance and manner, willing to accept direction, quick to learn new things, and computer savvy. Superior phone and computer skills required.

• Prepare, process and complete all client forms and applications to support ongoing account maintenance, including, but not limited to: opening, closing and retitling accounts, transferring assets, updating account preferences and details, money movements (deposits, withdrawals, Money links, wires, checks and journals), gifts of stock, QCDs, contributions and grants to and from retirement accounts, DAFs, etc., processing of required minimum distributions
• Collaborate with advisors for proper client on-boarding and account set-up.
• Monitor account activity for updates on asset flows, account modifications and other account alerts.
• Assist with client tax packages.
• Prepare quarterly reporting process, including distributing reports to client by mail and email.
• Cost basis research.
• Manage workflow assignments and respond to client inquiries.
• Input and maintain CRM system with relevant client information, keeping advisors aware of account and client updates.

• Daily account monitoring & reporting.
• Report generation and dissemination to all employees.
• Follow-up actions pertaining to activity including: trade reconciliation, coding pertaining to new assets, new accounts, client groupings, asset transfer completion and complex transactions.
• Processing, mailing and uploading quarterly reports.
• Account billing for all clients.
• Performance tracking for investments.
• Excel output generation and manipulation.
• Year-end investment tax analysis support.
• Trade entry responsibilities for individual equities, mutual funds and bonds.
• Trade aggregation responsibilities across multiple client accounts.

• Professionalism.
• Ability to socialize with clients in the office and at events.
• Ability to change direction quickly.
• Ability to proactively determine needs and actions.
• Ability to work as a team member and alone.
• Knowledge of different account and security types and cost basis reporting.
• Experience in managing investment account functions.
• CRM and Portfolio Management system experience.
• Proficiency in Word, Excel, PowerPoint and Outlook.
• Ability to multi-task.

• Degree in economics and financial services or at least three years of experience in different areas of the financial industry.
• One to two years hands on experience in banking, insurance products, and securities (investments).