Operations Specialist

About the role

The Operations Specialist will report directly to the Director of Operations, providing a wide range of administrative and client support services. They will work closely with advisors and their staff to field inquiries, process transactions, and ensure client requests are resolved timely. The role also involves collaboration with various departments within Stratos and plays a key role in risk management by identifying and addressing urgent items.

Responsibilities

• Provide client service to Stratos financial advisors and asset management partners.
• Work with multiple custodians to facilitate operational functions such as new account opening, transfers, and money movements.
• Serve as a subject matter expert on all custodial platforms.
• Handle Insurance & Annuity-related requests assigned to the House Brokerage Program.
• Display problem-solving abilities and facilitate escalations with custodians.
• Serve as an internal resource for account servicing, custodian-related inquiries, and the House Brokerage Program.
• Identify and resolve client issues promptly, including complex issues.
• Assist with the licensed and non-licensed onboarding of advisors and their staff.
• Contribute to the development and implementation of new processes and procedures.
• Stay up to date on industry knowledge and best practices.
• Build and maintain positive relationships with clients and colleagues.
• Work independently and as part of a team to meet deadlines with strong attention to detail.
• Provide front desk coverage as needed.

Requirements

• Bachelor’s degree in business administration, finance, or related field.
• 2+ years of experience in client service or a related field.
• Strong understanding of financial services terminology and regulations.
• Proficient in Microsoft Office Suite and other relevant software.
• Excellent communication, interpersonal, and organizational skills.
• Detail-oriented with the ability to multitask.
• Ability to work independently and take initiative.
• Positive and enthusiastic attitude with a commitment to excellent customer service.
• Ability to work in a fast-paced environment.

Qualifications

• FINRA Series 7 and 63 preferred.
• 2+ years of RIA industry experience (preferably with a large RIA).
• Familiarity with LPL, Fidelity, and/or Charles Schwab is a plus.
• CRM experience preferred (Salesforce experience is a plus).