Client Operations Specialist

Position Summary

The Operations Specialist takes direction from the Advisor and/or the Client Relationship Manager (CRM) to ensure the client has a superior experience. This includes being responsible for the client on-boarding process and supporting documentation to successfully establish investment accounts and prepare for the ongoing relationship. The Operations Specialist, Client Relationship Manager and Advisor function as a team to provide high levels of client satisfaction to meet or exceed agreed-to service standards and ensure client loyalty.

Job Requirements

Ensure the high-quality on-boarding of new clients or adding additional services (85%).

  • Receive tasks from Advisor and/or CRM after client meetings/phone calls to accurately complete account applications, asset transfer forms, beneficiary designations, move money forms, etc.
  • Oversee and manage the asset transfer process. Establish rapport with custodial contacts to ensure timely and accurate completion of requests and resolve outstanding issues. Update the Advisor/CRM during the process and when all client assets have arrived in order for them to initiate investing.
  • Ensure accounts are accurately established, client services are set up correctly and clearly communicated.
  • Regularly update Advisor/CRM on status of tasks.
  • Accurately complete life insurance and annuity applications and gain knowledge on different processes and products.

Ensure proper record-keeping and adherence to policies and procedures (15%)

  • Ensure Salesforce CRM and related workflow databases are updated accurately and on a timely basis.
  • Ensure desk and online documentation are kept in good order including scanning and faxing client documentation.
  • Periodically review client data and files for completeness and accuracy.
  • Identify needed improvements and/or updates to policies, processes, and procedures. Work with all team members to ensure clear communication, understanding, and adherence.

Education & Experience

  • Bachelor’s Degree, business related (finance, accounting, or marketing, etc.) preferred.
  • Experience in working with LPL Financial, a Registered Investment Advisory Firm or a Wealth Management/Financial Planning Firm an added plus.

Skills & Knowledge

  • Excellent verbal and written communication skills.
  • Excellent organization skills with attention to detail • Must be process oriented and the ability to work in a faced paced growing environment.
  • Must demonstrate a desire for client service and have a sense of stewardship • Strong working knowledge of Mac environment and Microsoft Office applications.
  • Working knowledge of Salesforce CRM preferred.
  • Basic knowledge of Excel.


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