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.
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.