Job Summary

Operations Specialist

  • Location:
    Portsmouth, New Hampshire
  • Job reference:
    US_EN_6_17198_61574021
  • Category:
    Banking/Finance/Insurance(General)
  • Contract Type:
    Contract/Temporary

Our client is seeking an Operations Professional who has expertise in all areas of broker dealer and RIA operations in addition to being able to analyze data and recognize breaches of policies and procedures
 
 
Responsibilities:
 


  • Assist with quality control checks and reviews procedures to ensure compliance to company policy & procedures.
  • Develop a strong level of program knowledge and communicate the benefits and features as necessary
  • Implement operational procedures and training material for new products and updates to existing products.
  • Provide exceptional customer service and operational support to clients, field force & other business areas via email and telephone
  • Complete daily processing of RIA business in a timely fashion

 
 
Recommended Experience:
 

  • Bachelor's Degree, preferably in a business-related field.
  • 3 plus years of experience in an RIA product management, operations, marketing, and training environment.
  • Series 7 & 66 preferred
  • Understanding of securities products and investment advisory programs, including WRAP, Separate Account & UMA products and retirement plans.
  • Knowledge of Broker Dealer and RIA operations, including, new account, transfer of accounts and cashiering functions
  • Working knowledge of FINRA, SEC, IRS, MSRB and ERISA rules & regulations as they apply to both broker/dealers and registered investment advisors.
  • Knowledge of custodial platforms – Pershing Netscape and Fidelity Wealthscape
  • Ability to work independently in a fast paced and complex environment
  • Excellent knowledge of MS Office (Word, Excel, PowerPoint, Access) and Morningstar Advisor

 
 


Apply Below!

Note: Required fields marked with an asterisk (*).

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All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, or protected veteran status and will not be discriminated against on the basis of disability.

Equal employment opportunity information:
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