Operational Specialist

I. Position Summary

The Operations Specialist is a primary contact of our operations team, serving as the primary contact for client support inquiries. This role involves managing a wide range of client requests—both written and verbal—and is responsible for problem resolution and service support for advisors and administrative staff processing client transactions through SFA Partners. The specialist will exercise decision-making authority as delegated by the Operations Manager and Director of Operations.

II. Essential Functions

• Review and process client account information, including account openings
• Provide general account maintenance and support.
• Review, approve, process, and follow up on incoming funds, disbursement, and asset movement requests.
• Review and process private purchase transactions within brokerage accounts.
• Manage account processing and associated fee billing on the managed account platform.
• Utilize imaging systems and workflows to maintain accurate records.
• Ensure timely completion of tasks and adherence to high service level standards.
• Generate reports to track outstanding and recurring issues, facilitating resolution and prevention.
• Serve as the subject matter expert for all operational processes and procedures, providing support to the team.
• Cross-train with team members and mentor new employees to enhance team skills and knowledge.
• Carry out additional duties and projects as assigned by management and leadership.
• Collaborate with other departments and external vendors to cultivate strong working relationships.

III. Qualifications

• Minimum of three years of experience in the banking or financial services industry.
• Proficient in Microsoft Office Suite and broker-dealer operations software.
• Excellent written and verbal communication skills, particularly in customer service.
• Demonstrated sound judgment and discretion, skilled in conflict resolution.
• Exceptional organizational abilities, time management, multitasking, and priority adjustment skills.
• Strong interpersonal skills, thriving in a fast-paced, customer-focused environment.
• Proactive, detail-oriented, and committed to continuous improvement.
• Team player with a collaborative mindset and positive attitude.

Preferred:

• Experience in securities and/or broker-dealer environments.
• Experience with Pershing Netx360.
• Series 7 license.