This position is responsible for providing front-line operational process support to customers with other operations team members. Generally, the RIA Back Office Operations/Customer Service Specialist generates and processes applications, verifies client documentation, process cashiering needs and responds to customer inquiries. The position is responsible for delivering exceptional customer service that exceeds client expectations in all client interactions. This position will be reporting directly to firm’s Chief Operations Officer/Vice President. Management of receptionist, calendar, and supplies.
Communication Skills – Communicates regularly with colleagues in other business units. Demonstrates ability to document procedures that are clear and easy to understand. Effectively communicates with clients on specific tasks. Demonstrates in depth understanding of assigned tasks underpinning operational function.
Problem Solving – Effectively solves problems with direction utilizing resources/procedures for a specific process, with a defined resolution.
Detail Oriented vs. Big Picture – Generally focuses and understands details on specific tasks while understanding to a limited extent the identified implications to the entire process associated with the task.
Conflict Resolution – Addresses conflicts within team (direct circle of influence) related to tasks/processes for which they have direct ownership.
Organization – Organized so that specific items can consistently be retrieved quickly while using electronic/non-electronic filing system and in Client Relationship Management software. Paper trails of all work processed and in process is a must including client conversations.
Time Management/Prioritization – Works efficiently with a pre-defined schedule or set of existing priorities, but able to be flexible if a situation calls for it. Asks for assistance dealing with conflicting priorities but responsible for managing own tasks.
Work Style – Works well independently on specific tasks. Requires some direction in more complicated or out of the box tasks. Able to develop and maintain rapport with others, demonstrates sensitivity and respect for others.
Initiative/Work Ethic – Will seek out opportunities to assist peers with daily volume. Independently identify areas of processing that could be improved and acted upon. Will take on additional departmental responsibilities when assigned.
Provide technical and operational assistance to customers
Perform support functions for customers’ cashiering needs
Interact directly with customers, answering questions and offer guidance
Data input and verification of all customer information pertaining to the initial application in paper and in Client Relationship Management software
Scan paperwork into the electronic imaging/filing systems
Perform a variety of tasks related to opening, maintaining and closing out accounts
Take initiative to continuously develop skills and industry knowledge to enhance the value of all customer interactions
Recommend and implement continuous improvements to back office processes identified through daily interaction with customers and internal operations teams
Knowledge of Schwab Institutional preferred.
Minimum 3 years of back office operations experience of RIA/Financial Services Firms.
Series 65 or 66 preferred, and clean U-4 is required.
Bachelor’s degree is preferred.
Proficiency with PC’s including Microsoft Office software applications (Word, Excel, Power Point, Outlook) strongly preferred.
Proficiency with Redtail CRM, LaserApp, Orion Advisor, & Adobe Acrobat preferred.
Please send resume to email@example.com.