Operations Specialist
2 months ago
**JOB TITLE**: Operations Specialist
**EMPLOYER**:Signature Estate and Investment Advisors Inc**
**DEPARTMENT**: Operations
**REPORTS TO**: Senior Director of Operations
**EFFECTIVE DATE**:5/1/2024
**SUMMARY**:This position is responsible for ensuring that client onboarding and ongoing client updates are processed and executed in a timely manner.
**DUTIES AND RESPONSIBILITIES**:
- Process new business for Investment Advisor and Broker Dealer.
- Adds new accounts to CRM and reconciles with internal systems.
- Performs annual contact mailing process.
- Keep informed on onboarding best practices in relation to custodians and the firms CRM and translating those into guides for the firms’ advisory service teams.
- Provide ongoing support for advisory teams in relation to client onboarding and ongoing client maintenance.
- Performs other related duties as assigned by management.
- Creates and maintains desktop procedures
**QUALIFICATIONS**:
- Bachelor's Degree (BA) from four-year college or university, or 1 to 2 years of related experience and/or training, or equivalent combination of education and experience.
- Certificates, licenses, and registrations:
- SIE, Series 7 required within 6 months of employment
- 66 preferred
- Computer skills required: Spreadsheet Software (Excel); Word Processing Software (Word); Electronic Mail Software (Outlook); Presentation software (PowerPoint).
- Other skills required:
- 3+ years of industry experience
**COMPETENCIES**:
- ** Diversity** - Demonstrates knowledge of EEO policy; Shows respect and sensitivity for cultural differences; Educates others on the value of diversity; Promotes a harassment-free environment; Builds a diverse workforce.
- ** Ethics** - Treats people with respect; Keeps commitments; Inspires the trust of others; Works with integrity and ethically; Upholds organizational values.
- ** Adaptability** - Adapts to changes in the work environment; Manages competing demands; Changes approach or method to best fit the situation; Able to deal with frequent change, delays, or unexpected events.
- ** Analytical** - Synthesizes complex or diverse information; Collects and researches data; Uses intuition and experience to complement data; Designs work flows and procedures.
- ** Attendance/Punctuality** - Is consistently at work and on time; Ensures work responsibilities are covered when absent; Arrives at meetings and appointments on time.
- ** Customer Service** - Manages difficult or emotional customer situations; Responds promptly to customer needs; Solicits customer feedback to improve service; Responds to requests for service and assistance; Meets commitments.
- ** Dependability** - Follows instructions, responds to management direction; Takes responsibility for own actions; Keeps commitments; Commits to long hours of work when necessary to reach goals; Completes tasks on time or notifies appropriate person with an alternate plan.
- ** Initiative** - Volunteers readily; Undertakes self-development activities; Seeks increased responsibilities; Takes independent actions and calculated risks; Looks for and takes advantage of opportunities; Asks for and offers help when needed.
- ** Innovation** - Displays original thinking and creativity; Meets challenges with resourcefulness; Generates suggestions for improving work; Develops innovative approaches and ideas; Presents ideas and information in a manner that gets others' attention.
- ** Interpersonal Skills** - Focuses on solving conflict, not blaming; Maintains confidentiality; Listens to others without interrupting; Keeps emotions under control; Remains open to others' ideas and tries new things.
- ** Judgement** - Displays willingness to make decisions; Exhibits sound and accurate judgment; Supports and explains reasoning for decisions; Includes appropriate people in decision-making process; Makes timely decisions.
- ** Motivation** - Sets and achieves challenging goals; Demonstrates persistence and overcomes obstacles; Measures self against standard of excellence; Takes calculated risks to accomplish goals.
- ** Oral Communication** - Speaks clearly and persuasively in positive or negative situations; Listens and gets clarification; Responds well to questions; Demonstrates group presentation skills; Participates in meetings.
- ** Planning/Organizing** - Prioritizes and plans work activities; Uses time efficiently; Plans for additional resources; Sets goals and objectives; Organizes or schedules other people and their tasks; Develops realistic action plans.
- ** Problem Solving** - Identifies and resolves problems in a timely manner; Gathers and analyzes information skillfully; Develops alternative solutions; Works well in group problem solving situations; Uses reason even when dealing with emotional topics.
- ** Professionalism** - Approaches others in a tactful manner; Reacts well under pressure; Treats others with respect and consideration regardless of their status or position; Accepts responsibil
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