Branch Operations Specialist

1 month ago

houston, United States TalentWealth Full time

Job Summary:

We are seeking a proactive and detail-oriented Branch Operations Specialist to support our financial advisory team and manage office operations. This role is essential to maintaining a smooth, efficient, professional environment for clients and team members. The ideal candidate will enhance office processes, oversee vendor relations, manage compliance documentation, assist with client needs, and provide administrative backup, including phone coverage and client support.



Essential Duties and Responsibilities:

Client Account Management & Support

  • Assist financial advisors with new client onboarding by opening accounts, gathering the necessary documentation, and following up on outstanding paperwork.
  • Respond to and manage client requests, ensuring prompt and accurate service for tasks such as account maintenance, withdrawals, and transfers.
  • Maintain and update client records, birthdays, and other key dates, organizing the mailing of birthday cards and other personal touches to enhance client experience.


Office Operations & Vendor Management

  • Evaluate and streamline office processes to enhance overall efficiency and effectiveness.
  • Implement best practices and innovative solutions to improve client service and operational workflows.
  • Manage relationships with vendors and service providers to ensure the timely and cost-effective delivery of products and services.
  • Negotiate contracts and agreements with vendors to secure favorable terms.
  • Oversee procurement and inventory of office supplies, equipment, and materials, ensuring an organized and well-stocked environment.
  • Coordinate office maintenance, including work orders, rent, facility management, and cleaning services, ensuring a clean and welcoming workspace.


Compliance & Licensing Support

  • Ensure compliance with firm policies and procedures, maintaining updated and organized client files for compliance.
  • Coordinate branch audit and compliance visits, including preparation and timely delivery of required documentation.
  • Monitor and maintain Continuing Education (CE) requirements, registrations, and licensing for the team, including updates with regulatory bodies.
  • Oversee the approval and distribution process for all compliance-related deliverables, including social media and other client communications.


Project Coordination & Performance Monitoring

  • Assist with the coordination and execution of various projects and initiatives, tracking timelines, and providing regular updates to stakeholders.
  • Monitor and analyze performance metrics, identifying areas for improvement to maximize operational efficiency.
  • Ensure projects are completed on time, within scope, and within budget, maintaining clear communication with all team members and departments.


Technology & IT Support

  • Act as an IT liaison, managing coordination with home office personnel for technology issues and system updates.
  • Oversee the transitioning of clients for new financial advisors, ensuring a seamless process and consistent client experience.


Administrative & Client-Facing Support

  • Serve as the face of the firm, greeting clients and answering calls with professionalism.
  • Provide administrative backup, including information management, support for operational functions, and secretarial duties as needed.
  • Coordinate with another office location to ensure cohesive operations, resource sharing, and aligned client service practices.


Qualifications:

  • Comprehensive understanding of company policies and procedures and industry rules and regulations.
  • Investment concepts, practices, and procedures used in the securities industry.
  • Financial markets and products.
  • Human resource management principles and practices.
  • Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.
  • Handle stressful situations and lead others in providing a high level of customer service in a calm and professional manner, constantly projecting a Service 1st attitude.
  • Project a professional and pleasant appearance and demeanor to work with clients; utilize tact and diplomacy in dealing with customers in a deadline-driven environment.
  • Employ good analytical skills to be able to research account information and resolve problems.
  • Establish and communicate clear directions and priorities.
  • Utilize good interpersonal verbal and written communication skills to deal with clients, financial advisors, support staff, and home office personnel.
  • Establish and maintain a respected position of leadership to influence, motivate, and persuade others to achieve desired outcomes.
  • Effectively organize, manage, track, and complete multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.
  • Work independently, under minimal supervision.


Educational/Previous Experience Requirements:

  • Bachelor’s degree (B.A.) from a four-year college or university in a related field and three (3) years experience in the financial services industry, preferably including related operational management and supervisory experience.
  • ~or~
  • An equivalent combination of experience, education, and/or training as approved by Human Resources.

Licenses/Certifications

  • Series 7,63, 65, and/or 66 preferred
  • Ability to obtain additional securities and advisory state registrations if required by the state.

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