Operations Specialist

Job Description

Job Description

Job Summary

We are seeking an experienced Operations Specialist for a direct hire opportunity with an independent broker-dealer and RIA environment in Orange, CA. This role is ideal for a financial services operations professional who has worked as a sales assistant, brokerage operations associate, or broker-dealer back-office support specialist.

The Operations Specialist will play a key role in supporting advisors, internal staff, and clients with day-to-day operational needs, including account openings, paperwork processing, service requests, trade processing support, and issue resolution. This is a strong opportunity for someone who enjoys problem-solving, client service, financial operations, and working in a collaborative support environment.

The organization offers a professional, team-oriented culture where strong communication, accuracy, and service are valued. Candidates who are eager to grow within financial services operations, learn new technology platforms, and contribute to a high-performing support team will be well positioned for success.

Key Responsibilities

- Provide operational support to advisors, staff, and clients in a broker-dealer and RIA environment.
- Handle inbound calls, respond to inquiries, and deliver exceptional customer service.
- Assist with account openings, paperwork processing, service requests, trade processing, and related operational tasks.
- Collaborate with internal support and processing departments to research and resolve issues.
- Perform general office and administrative duties, including answering phones, filing, and maintaining accurate records.
- Complete other duties and special projects as assigned by management.

Compensation and Benefits

- Salary range: $65,000 to $90,000 per year.
- Job type: Direct hire.
- Location: Orange, CA.

Equal Opportunity Employer / Disabled / Protected Veterans

The Know Your Rights poster is available here:
-06/22-088_EEOC_KnowYourRights6.12.pdf

The pay transparency policy is available here:
- transp_%20English_formattedESQA508c.pdf

For temporary assignments lasting 13 weeks or longer, the Company is pleased to offer major medical, dental, vision, 401k and any statutory sick pay where required.

We are committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation for any part of the employment process, please contact your staffing representative who will reach out to our HR team.

AppleOne participates in the E-Verify program in certain locations as required by law. Learn more about the E-Verify program.
verify.uscis.gov/web/media/resourcesContents/E - Verify_Participation_Poster_ES.pdf

We also consider for employment qualified applicants regardless of criminal histories, consistent with legal requirements, including, if applicable, the City of Los Angeles’ Fair Chance Initiative for Hiring Ordinance. Pursuant to applicable state and municipal Fair Chance Laws and Ordinances, we will consider for employment-qualified applicants with arrest and conviction records, including, if applicable, the San Francisco Fair Chance Ordinance. For Los Angeles, CA applicants: Qualified applications with arrest or conviction records will be considered for employment in accordance with the Los Angeles County Fair Chance Ordinance for Employers and the California Fair Chance Act.

#1090

Company Description

This company offers growth and a great group of people to work with.

Company Description

This company offers growth and a great group of people to work with.