As an Operations Specialist on the Managed Accounts team, you will provide administrative and operational support to our network of partner firms, ensuring a smooth client experience in a fast-paced environment. The ideal candidate will have a background in back-office operations from a broker dealer, RIA, or clearing firm. They will also have strong presentation skills and a solution-oriented mindset. The candidate should have a working familiarity with advisory products and managed money solutions such as UMA, SMA, and advisor model solutions.

This role involves processing paperwork, maintaining a workflow queue with specific SLA’s (service level agreements), reconciling workflows and collaborating with partner firms, internal teams, and custodians. This role also includes working with block trading tools with heavy emphasis on demonstrations and live tutorials. With opportunities for career growth and process improvement, this role is ideal for a highly communicative team player. This role can be based in any of the following cities: Indianapolis, IN; Miami, FL; Omaha, NE; San Antonio, TX; Remote, based on experience

Processing:

• Review and process client agreements on discretionary accounts, ensuring accuracy and adherence to timelines.
• Review and verify account values, fees, and charges in accordance with client agreements. 
• Assess and approve model changes, investment swaps, and certain trade related deliverables.

Client Account Management:

• Assist with new client onboarding, including setting up fee schedules, products, and billing methods.
• Problem solves on client transactions, trades, and workflows to help partner firms understand the platform, timing, and expectations. 

Analysis & Reporting:

• Conduct review of client accounts and preferences to ensure accuracy
• Reconcile managed account data and generate reports to identify variances and process improvement opportunities.

Compliance & Process Improvement

• Ensure approval and review practices align with company policies and regulatory requirements.
• Identify inefficiencies in workflows and collaborate with teams to enhance operational efficiency.
• Participate in training and education to stay current on industry knowledge and compliance requirements.

Customer Service Excellence & Collaboration

• Serve as a primary contact for client inquiries, ensuring prompt and professional resolution of issues including phone calls, emails, and other escalations.
• Work closely with internal teams to maintain accurate approvals and seamless processing
• Assist with daily advisor requests and participate in meetings, committees, and projects as needed

•  5+ years of experience with a Registered Investment Advisor (RIA) or within the financial services industry, preferably in an operational or processing capacity.
• Strong understanding of regulatory framework, capital markets, financial transactions, and investment advisory services.
• Proficiency with Microsoft Office 365 (Outlook, Word, Excel) and CRMs 
• Experience with custodian systems such as Fidelity (Wealthscape), Schwab (Schwab Advisor Center), Pershing 360+ and Wove, and Goldman Sachs.
• Excellent attention to detail with strong analytical and problem-solving skills.
• Knowledge of industry regulations and compliance standards.
• Strong verbal and written communication skills, with the ability to interact professionally with clients and internal team members.
• Ability to manage multiple tasks, meet deadlines, and work independently in a fast-paced environment.

Other Qualifications:

• Problem Solving: Use available resources to resolve client issues efficiently and proactively seek opportunities to support the team.
• Task Ownership: Keep an organized list of tasks, prioritize effectively, and communicate with the team on progress and new items.
• Willingness to Learn: Participate in training and education to stay current on industry knowledge and compliance requirements.
• Public Speaking Skills: Use expert communication skills and showcase platform expertise in live presentations for audience sizes ranging from one to several attendees at a time.
• Education (preferred): Bachelor’s degree or equivalent industry experience.
• FINRA Licenses: SIE and Series 7 required or ability to attain in 120 days. Series 66 (or 63/65) preferred.