Operations Specialist - Impact Financial Group

Job Description

Job Description

Benefits:

• 401(k) matching
• Bonus based on performance
• Company parties
• Competitive salary
• Dental insurance
• Health insurance
• Paid time off
• Parental leave
• Opportunity for advancement
• Training & development
• Vision insurance

Step into an instrumental role. Work as an employee of an independent advisor franchisee with a financial advisory practice of Ameriprise Financial.
As an Operations Specialist , you will play a key role in delivering a distinctive client experience that sets our practice apart.

We are a dynamic team of professionals dedicated to “Clients First” - engaging, informing, and empowering so that they can confidently navigate life's journey.

The Operations Specialist partners with the Operations Trading Specialist to serve as a cross-trained resource for trading and investment operations.
This role focuses on delivering operational excellence through workflow management, client service support, account administration, and reporting.  

Key Responsibilities

Trading Operations  
·         Crosstrain on trading, discretionary account management, and investment operations processes.
·         Execute trades, implement account rebalances, process money movement requests, and support portfolio implementation in    accordance with advisor direction and firm procedures.
·         Monitor incoming funds, ACAT transfers, periodic arrangements, and other investment related transactions.
·         Perform quality control reviews and operational documentation related to trading and investment activities.
·         Provide back-up support for the Operations Trading Specialist during absences, periods of increased volume, or as business needs require. 

Client Service & Account Administration
·         Support client onboarding, account opening, and account maintenance activities.
·         Prepare and process paperwork for client requests, including beneficiary changes, address updates, transfers, distributions, and account servicing.
·         Assist with money movement requests and ensure timely and accurate processing.
·         Maintain documentation and records in accordance with Ameriprise and firm requirements.
·         Follow up proactively on outstanding items to ensure a positive client experience.

Operations & Workflow Management
·         Manage daily operational workflows and service requests through CRM and Ameriprise systems.
·         Monitor task queues, alerts, and operational reports to ensure timely completion of activities.
·         Coordinate administrative processes across advisors and support team members.
·         Identify opportunities to improve operational efficiency and enhance team productivity.
·         Assist with business continuity, operational projects, and process documentation.

Compliance & Risk Management
·         Adhere to Ameriprise Financial policies, firm procedures, and regulatory requirements.
·         Maintain complete and accurate documentation for operational activities.
·         Protect client confidentiality and ensure secure handling of sensitive information.
·         Support audits, compliance reviews, and operational controls as required.
 
Advisor & Team Support
·         Collaborate with advisors, operations personnel, and corporate partners to support client needs.
·         Provide operational support for advisor initiatives, meetings, and client service activities.
·         Serve as a resource for team members regarding procedures, workflows, and operational best practices.
·         Support office-wide initiatives and special projects as assigned.

Reporting & Business Analysis
·         Generate and maintain operational, client service, and business reports.
·         Assist with data analysis, quality control reviews, and reporting needs for advisors and leadership.
·         Verify accuracy of account information, transactions, and operational records.
·         Support maintenance of client and business data across systems.

Tools & Systems
·         Ameriprise Client Management and operational systems
·         CRM platforms and workflow management tools
·         Status Manager
·         Vestmark and Thomson (backup support functions)
·         Portfolio and Performance reporting
·         Microsoft Office Suite and reporting applications

Key Traits
·         Desire and mindset to uphold the mission and values of Impact Financial Group.
·         High level of professionalism, organization, and interpersonal skills.
·         Strong commitment to delivering exceptional client service.
·         Ability to communicate effectively with clients and team members at all levels of the organization.
·         Initiative, adaptability, and willingness to support a variety of operational functions.
·         Detail-oriented with strong follow-through and problem-solving abilities.
·         Adherence to rules and regulations as stated and required by the advisor and Ameriprise Financial. 
 
Qualifications
·         Bachelor's Degree preferred.
·         Two or more years of experience in financial services.
·         Working knowledge of brokerage, advisory, and financial planning operations preferred.
·         Series 7 and Series 66 (or willingness to obtain) preferred but not required.
·         Proficiency with CRM systems, Microsoft Office applications, and financial services technology platforms.
·         Commitment to ongoing financial services and industry education.
 
Compensation and Benefits
Expected Base Pay Range: Based on experience, qualifications, and licensing.
Additional Compensation:
·         Quarterly Bonus Plan
·         Health Benefit Plans (Medical, Vision, Dental)
·         Paid Time Off
·         Parental Leave
·         401(k) Match
·         Tuition Reimbursement
·         Career Development Opportunities