Operations Specialist - Impact Financial Group

Job Description

Job Description

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, operations, client service, or related field.

·         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