Provide operational and administrative support for a variety of financial products and services, including account maintenance, transaction processing, and reconciliation.
Assist with the setup, modification, and closure of client accounts in accordance with established procedures and compliance standards.
Respond to internal and external customer inquiries with professionalism, accuracy, and efficiency.
Work closely with account managers, clients, and other departments to ensure timely resolution of operational issues.
Monitor and process exception items, account discrepancies, and error corrections.
Support documentation, verification, and validation of transaction records for audit readiness.
Assist with the preparation of operational reports, metrics, and status updates for internal tracking and management reporting.
Participate in process improvement initiatives and identify areas for operational efficiency.
Ensure adherence to all operational risk management policies and procedures.
Stay updated on financial regulations and changes impacting operational processes.
Qualifications:
Bachelor's degree in Finance, Business Administration, or related field (or equivalent work experience).
0–5 years of experience in financial operations, banking services, or client account servicing.
Strong understanding of financial services processes, account administration, and transaction workflows.
Knowledge of compliance requirements, especially in regulated financial environments.
Excellent organizational and problem-solving skills.
Proficient in Microsoft Office (Excel, Word, Outlook); experience with financial systems and CRM platforms is a plus.
Strong verbal and written communication skills.
Ability to work effectively under pressure and manage multiple priorities.
Competencies:
High attention to detail and accuracy
Strong time management and prioritization skills
Customer-first mindset and proactive approach to problem-solving
Ability to work collaboratively within a team and across departments
Analytical thinker with a continuous improvement mindset
Preferred Experience:
Prior experience in brokerage, wealth management, or investment services operations.
Familiarity with industry platforms (e.g., FIS, SEI, Broadridge, or similar systems).
Exposure to regulatory requirements such as FINRA, SEC, or FCA guidelines.
