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.

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.

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.

Position Summary

The Director of Operations is responsible to lead the broker-dealer operations team with a passion for serving our advisors and their clients while seeking to enhance the efficiencies and services of the department, develop and train personnel, and support new and existing businesses.

Essential Functions

1. Manage Broker-Dealer/Advisory Operations including:
   • Account Opening
   • Quality processing of transactions
   • Problem Resolution
   • Customer Service
   • Custodial Relationships (Pershing)
2. Vendor/Partner Management
   • Point person responsible for ensuring the appropriate utilization of technologies employed within the Operations department
   • Create and implement “best practices” through working directly with the vendors
   • Facilitate Ongoing training (internal or provided by vendor) on technology updates/enhancements
   • Identify and implement new technologies that will serve the Operations department
3. Support Transition Manager with the Onboarding of new Advisors:
   • Account Opening
   • ACAT’s
   • The addition of all new clients and advisors to designated back office/commission and fee paying systems
   • B/D Changes for direct mutual fund and insurance accounts
   • Monitoring the success of the account movement
4. Lead Advisor Compensation Functions/Processes (Commissions & Advisory Fees)
   • Provide leadership, direction, and management of the Advisor Compensation department employees
   • Perform final review of all deliverables prepared in the Advisor Compensation department
   • Refine use of technology to create efficiencies within the Advisor Compensation department

Qualifications

Required:

1. Bachelor’s degree
2. Minimum of 7 years’ financial operations
3. Minimum of 5 years’ operations management experience
4. Series 7 and Series 24 (or 9 and 10)
5. Experience with Pershing as well as any of the following:
   • Schwab
   • Fidelity
   • Albridge
   • Black Diamond and/or other performance reporting systems
   • RedTail or other CRM
6. Strong management skills, encompassing both personnel and project management
7. Strong industry acumen, self-starter and the ability to work both independently and within a team
8. Strong analytical skills with an ability to identify relevant data plus insights and present in an actionable manner
9. Excellent written and verbal communication skills