Job Description
Job Description
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:
Processes services requests in CRM: change of account type, email, address, name, deactivations, Investment Policy Statements, etc.
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 responsibility for own actions; Follows through on commitments.
Quality
- Demonstrates accuracy and thoroughness; Looks for ways to improve and promote quality; Applies feedback to improve performance; Monitors own work to ensure quality.
Quantity
- Meets productivity standards; Completes work in timely manner; Strives to increase productivity; Works quickly.
Teamwork
- Balances team and individual responsibilities; Exhibits objectivity and openness to others' views; Gives and welcomes feedback; Contributes to building a positive team spirit; Puts success of team above own interests; Able to build morale and group commitments to goals and objectives; Supports everyone's efforts to succeed.
Technical Skills
- Assesses own strengths and weaknesses; Pursues training and development opportunities; Strives to continuously build knowledge and skills; Shares expertise with others.
Written Communication
- Writes clearly and informatively; Edits work for spelling and grammar; Varies writing style to meet needs; Presents numerical data effectively; Able to read and interpret written information.
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