Client Operations Associate

The Client Operations Associate position supports the Sales team in partnership with the Client Operations team with providing a funding and service on processing clients requests of Wires, ACATS, ACH, security restrictions and products knowledge like equities, Fixed Income, Structured products, Options, FX in accurate and timely manner, US and International settlements Knowledge, margin and Non Purpose Loan Accountabilities & Areas of responsibility Document and maintain all operational procedures and desktop processes. Design and maintain operations workflows. Provide administrative support with respect to recordkeeping, maintenance and distribution of client documentation Support the business with the processing of all client requests, including but not limited to transfers, distributions, trades and account maintenance forms Act as main point of contact for operational inquiries and requests from the RIA’s custodians and third-party broker dealer - Working directly with them to process work in a timely and accurate manner Collaborate with Client Relationship Specialist and advisors for all operational matters Maintain the back-office systems provided by custodians and executing broker dealer Generating, reviewing, and reconciling client fees Improve operational procedures and ensure efficiency with resolution of issues identified in account servicing and other client related processes Continuous improvement of existing processes, systems, and process Demonstrate a strong awareness of the RIA’s compliance program and effectively utilize its tools Support the independent monitoring and quality assurance of key operational processes Prepare and submit compliance reports as required. Ensure that operation controls are in place for all key processes and that any control weaknesses are appropriately addressed and escalated. Required Qualifications, Skills and Capabilities Bachelor's degree in Business, Finance, Economics, or other related area or equivalent work-related experience 5 years of previous financial industry experience – SEC RIA or Broker Dealer preferred Manage the end-to-end lifecycle of securities transactions Strong understanding of financial markets and technical expertise in complex securities products (Equities, Fixed income, Structured products, Mutual Funds, Options, Alternative placements) Previous experience with the “NetX 360” platform preferred Middle office/ trading experience in Securities desirable Understanding of the relevant rules and regulations applicable to SEC registered Investment Advisors and Broker Dealers Highly motivated self-starter with very good problem-solving skills and attention to detail Great interpersonal and stakeholder management skills - Ability to communicate and coordinate effectively with a wide range of people across different functions and levels of seniority. Delivery focused with ability to prioritize multiple assignments and meet deadlines Problem-solving skills and focus on collaboration and teamwork Excel, pivot tables, formulas and macros #J-18808-Ljbffr