Careers: Operational Support

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Job Summary

The Operations Specialist is a full-time position, located in Scottsdale, Arizona, Monday through Friday, 8:00 am to 5:00 pm. The position provides office and operational support for all staff as well as has direct client contact responsibilities to ensure client retention and satisfaction throughout the financial planning lifecycle. We are looking for people with a passion for helping clients.

Qualifications:

Required

  1. Interpersonal phone skills

  2. Must be computer literate (Windows, Microsoft Office)

  3. Ability to work well independently and as part of a team.

  4. At least one (1) years’ experience in financial planning operations field

  5. Understanding the operational workflow as it pertains to back office support for an Registered Investment Advisor (RIA)

Preferred

  1. SIE Exam Certificate

  2. Bachelor’s degree & or extensive industry experience

  3. Experience with LaserApp, Docusign, Orion, Salesforce, and TD Ameritrade/Schwab software systems

Knowledge, Skills and Abilities:

  1. Communicate effectively, both verbally and written

  2. Operate standard office equipment and follow oral and written instructions

  3. Proficient writing, analytical and problem solving skills.

  4. Manage interruptions, able to multitask, and work with varying personalities

  5. Prioritize and plan own workload

  6. Detailed and accurate

  7. Excellent interpersonal skills, both written and verbal

Duties and Responsibilities:

  1. Support ongoing and ad-hoc project work

  2. Answering incoming phone calls from existing clients, partners, vendors, and prospective clients

  3. Review custodial and system alerts and address necessary follow-up

  4. Delivering unparalleled value and outstanding service.

  5. Maintain confidentiality in all aspects of client, firm and staff information

  6. Supporting the Sr. Advisors in research and analysis to meet Client needs and objectives including scheduling of appointments

  7. Developing and maintaining internal relationships to help maintain business flow and meet agreed targets

  8. Continuous professional development to meet regulatory requirements and personal development needs

  9. Ensuring that any business conducted is done in a responsible and compliant manner, meeting all regulatory requirements, both internally and externally.

  10. Assist in preparing client account paperwork, working with custodian and client to completion

  11. Assist in performing account maintenance tasks such as check deposits, cash disbursements, Required Minimum Distributions (RMDs), client contact information changes, and other one off client requests

 

Salary is commensurate with experience.

Relocation is not offered at this time.

Benefits include 401(k) and company match, profit sharing, bonus, health insurance and vacation time.

Please submit your resume and cover letter via e-mail by clicking on the below button and attaching your resume and cover letter.

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