Job Overview
The Operations Specialist is responsible for supporting the day-to-day operational functions of a financial advisor team. This role ensures efficient account administration, oversees operational workflows, supports client service initiatives, and helps maintain regulatory and compliance standards. Working as a key member of the advisor team, the Operations Specialist acts as the primary coordinator for account processing, technology utilization, business operations, and process improvement, enabling advisors to focus on client relationships and financial planning. This role is ideal for a detail-oriented professional who enjoys creating structure, improving processes, and helping a financial advisory team deliver an exceptional client experience.
Responsibilities
- Provide excellent client service, ensure prompt and professional handling of client requests, and communicate status updates for clients.
- Process new account openings, transfers, money movements, distributions, and account maintenance requests.
- Monitor account paperwork for accuracy, completeness, and timely submission.
- Track pending transactions and proactively resolve operational issues.
- Coordinate with custodians, broker dealers, and internal business partners to facilitate account servicing.
- Maintain accurate client records and document management systems.
- Manage operational components of client onboarding and ongoing servicing.
- Support advisors in executing client requests and service initiatives.
- Coordinate follow-up activities resulting from client meetings.
- Serve as a point of contact for operational and administrative client inquiries.
Qualifications
- 2+ years of operations, client service, banking, financial services, or wealth management experience.
- Ability to work independently and as part of a team in a fast-paced, dynamic environment.
- Exceptional attention to detail and accuracy.
- Proficiency with Microsoft Office Suite and CRM systems.
- Ability to manage multiple priorities in a fast-paced environment.
- Strong written and verbal communication skills.
Job location: In-person, 5 days/week at one of our four locations as needed: Middletown, Middlebury, West Hartford, Mystic.
Pay: $23.00 - $33.00 per hour
Benefits:
- 401(k)
- 401(k) matching
- Dental insurance
- Health insurance
- Paid time off
- Vision insurance
Work Location: In person
