Firm Summary: Independent Broker-Dealer firm based in Buckhead, GA. They provide a suite of BD Technology services and Support to over 200+ Financial Advisors. Financial advisors use their broker-dealer platforms to manage their book of client assets, accounts.
Firm Accolades: Financial Planning has ranks this firm among the nation’s top IBDs, and Investment News, named them as one of the fastest-growing IBD's in the country. They are fast growing and have doubled in size over the past year. Great culture of people working and growing together to support their Financial Advisors. Opportunity to move up in the ranks quickly as firm expands in size and operations.
Position Summary: Operations Specialist is responsible for providing operations assistance to
Financial Advisors and will play a key role in the continued success of this fast-growing firm. The specialist will reports to the Operations Manager. Prior experience working with their Clearing Firm, National Financial Services, is a plus.
● Serve as primary liaison between a advisor and clearing firms
● Provide operational guidance and product knowledge to our Financial Advisors
● Manage inbound and outbound calls coupled with email notifications and requests from
advisors and their support staff in a timely manner
● Responsible for effectively and accurately processing routine activities/transactions
according to department and compliance guidelines
○ Functions may include but are not limited to verifying documents for completeness,
completing entries within client/firm accounts, performing calculations relating to
exceptions and corrections, and communicating with financial advisors, internal
headquarter associates and vendors
● Gain an understanding of the brokerage industry, the responsibilities of the department, and
specific functions within the area through constant development
● Provide timely and accurate responses to branch and client inquiries with the ability to ask
the right question to bring timely, accurate solutions
● Effectively use knowledge to respond to operational and technical questions while using tools
and resources to ensure service is compliant with current policies, procedures, rules, and
● High school diploma or equivalent is required and at least 2 years' experience in the financial
services industry. A college degree is preferred. FINRA Series 7, 6, or 24 is a plus.
● Must be comfortable working in a fast-paced, team-oriented environment; while staying
organized to perform and prioritize multiple tasks
● Must be able to demonstrate attention to detail and commitment to accuracy and quality to
ensure department goals and deadlines are met or exceeded
● Strong customer service focus that supports the firm's commitment to exceed client
● Must have excellent written and verbal communication skills, including both processing and
customer service interfacing with our branches
● Working knowledge of Microsoft Word, Excel, and other web-based applications
● Strong interpersonal and team-building skills