RIA Operations Specialist

RIA Operations Specialist

Requirements

• 3 or more years of Advisory Operations industry experience
• College degree or equivalent work experience. Securities license preferred (Series 7 or 6)
• Knowledge of retail client onboarding/new account process and advisory products
• The skills for multi-tasking, collaboration with others, and excellent time management/organizational skills
• Possess a high degree of self-confidence, work independently and have rapid decision-making ability. Must demonstrate strong and analytical and organizational skills.
• Demonstrate ownership and follow through when reviewing workflows, exceptions and anomalies and offer practical solutions.
• Proficiency in Outlook, Microsoft Word and creating Excel spreadsheets and PowerPoint presentations is preferred.

Responsibilities

• Complete operational tasks related to New Accounts and Maintenance items in Pershing and Envestnet
• Demonstrate proficiency in service and administrative functions, with expertise in intricate service offerings and operational systems.
• Participate in our Quality Assurance program by reviewing processed items, reporting outcome and training according to documented procedures
• Develop, analyze, and maintain metrics for measuring
• Serve as point of contact for customer inquiries from our Investment Advisers, 3rd Party sponsors, and other internal Guardian teams
• Support peer-to-peer guidance and education in the areas of routine, specialty, or complex product knowledge or processing systems.
• Communicate with partners across various platforms(such as phone, email) to respond to and resolve outstanding items.
• Collaborate with various internal departments including: Compliance, licensing, operations, internal clearing firm, and 3rd Party Sponsors/Envestnet

Preferred Qualifications

• Experience in the managed account space, specifically with Envestnet or Orion systems
• Experience with Pershing, Fidelity or Schwab custodial systems