Operations Specialist - NWFA

Overview

The Operations Specialist manages daily operations and provides support to Wealth/Financial Advisors and Client Service Associates/Assistants. This role supports advisors and their staff by performing administrative tasks that are not client facing, ensures that all Northwest Capital Management (NWCM) and LPL Financial operations are documented and all regulatory requirements are met, and ensures readiness for regulatory exams and audits.

Responsibilities

• Review paperwork for accuracy and completeness and open accounts in ClientWorks and Salesforce
• Perform account maintenance (address changes, householding, combined statements, CRM updates, etc.)
• Open, review and sort incoming mail
• Review, copy and process outgoing mail
• Process incoming checks and update cash blotter
• Network direct business accounts
• Review daily notifications and resolve
• Process transfer paperwork, update log and work with broker/dealer and outside firms to resolve issues to ensure transfers are completed in a timely manner
• Maintain client account files and assist with filing
• Cover front desk, as needed
• Uphold all firm and LPL policies and procedures
• Establish and amend operational processes and standards for brokerage and advisory business
• Provide support to Financial and Wealth Management Advisors and Client Service Assistants on operational issues
• Remain cognizant of and adhere to NWFCU policies and procedures as well as regulations pertaining to the Bank Secrecy Act (BSA)

Qualifications

• High School Diploma or equivalent
• Minimum 1 year experience in a back office/operations or customer service type role (experience in the financial services industry is preferred)
• Demonstrated strong attention to detail
• Ability to work independently with minimal direct management supervision
• Demonstrated initiative and resourcefulness as a self-starter
• Effective oral and written communication skills
• Ability to prioritize activities to meet deadlines
• Proven ability to work well in a team environment
• Adaptable to change as we evolve
• Knowledge of handling general office equipment (remote deposit technology, scanners, printers, fax)
• Proficient in technology, especially Microsoft Office applications and Salesforce CRM systems
• Ability to work onsite in our Herndon, VA headquarters
• Ability to work the hours of M-F 8am - 4:30pm