Operations Consultant - Retirement Plan Services

Responsibilities

• Act as a strategic business partner to internal stakeholders, managing strong relationships across Operations and Retirement Plan Services.

• Serve as a liaison between the firm and regulatory agencies, acting as an industry expert on applicable regulations.

• Develop a deep understanding of new regulations and assess their operational impact using internal and external resources.

• Identify, evaluate, and recommend expertise-driven solutions that meet regulatory needs and business requirements.

• Consult with users to identify, analyze, refine, and document detailed business requirements.

• Prepare and deliver clear written and oral communications to stakeholders regarding project updates, regulatory impacts, and operational changes.

• Execute and support communication plans using established internal communication processes.

• Manage relationships with smaller internal clients and assist senior colleagues with larger or complex stakeholders.

• Represent Operations in cross-functional working groups, including relevant regulatory and industry committees (e.g., SIFMA).

• Review regulatory rules impacting the department and create or update functional documentation and procedures as needed.

• Identify operational trends, analyze impacts, and provide written reports and recommendations to management.

• Participate in procedure reviews, identify gaps or risks, and propose enhancements to improve compliance and efficiency.

• Create process maps and workflow documentation to support operational understanding and associate training.

• Participate in User Acceptance Testing (UAT), assess outcomes, and make recommendations at decision points.

• Write and edit materials for various audiences, tailoring tone, and content appropriately.

• Drive execution of project plans and ensure alignment with goals and timelines.

• Support and lead special projects as assigned.

Knowledge of:

• Functional, operational, and technical requirements of systems used within the Retirement Plan Services environment.

• Principles of banking, finance, and securities industry operations.

• Investment concepts, industry practices, and regulatory frameworks impacting retirement plan services and securities operations.

Skill in:

• Communicating clearly and effectively through advanced verbal and written communication.

• Representing stakeholders on project teams and problem-solving across large, complex cross-functional systems.

• Applying strong business judgment, analytical thinking, and organizational skills to drive outcomes.

• Preparing high-quality reports, summaries, presentations, and other written communications.

• Translating broad concepts into actionable steps and measurable success criteria.

• Delivering client-focused service by understanding and aligning with key client needs.

• Navigating customer conversations through structured communication approaches (open, learn, reply, close).

• Using required software applications, systems, and tools to support operational requirements.

Licenses/Certifications

• SIE required or ability to obtain within 120 days (as required by FINRA), provided that an exemption or grandfathering cannot be applied.

• Series 99 required, or ability to obtain within 120 days (as required by FINRA). Persons holding Series 6, 7, 17, 37 or 38 or those who hold principal-level registrations: Series 4, 9/10, 14, 16, 23, 24, 26, 27, 28, 51, and 53 would be qualified to register as an Operations Professional (Series 99) without passing the examination.