Position Summary
The Operations Specialist serves as a primary contact for customer service support. The specialist handles a variety of requests, both written and verbal, and is responsible for problem resolution and service support for advisors and administrative staff transacting their client activity through SFA Partners. This position involves decision-making responsibility as delegated by the Operations Manager or the Senior Vice President of the firm.
Essential Functions
- Serve as a subject matter expert and trusted point of contact within the operations customer service team for our advisors clientele and their office staff
- Provide customer service support including managing written and verbal requests and providing problem resolution and service support for advisors and administrative staff
- Possess understanding and working knowledge of department specific technologies including, but not limited to BRACS, Pershing Netx360, and Docupace
- Review and process client account information including account opening process
- Establish and maintain professional relationships with our advisors clientele and their office staff
- Possess broad understanding of regulatory and compliance guidelines including AML and KYC to mitigate risk
- Management of incoming funds and account transfer requests
- Track outstanding and recurring issues and assist in their resolution and prevention
- Other duties and projects that may be assigned by manager
Qualifications
Required:
- Five years financial services industry experience
- Proficiency with Microsoft Office products (Word, Excel, PowerPoint)
- Strong written and verbal communication skills particularly in customer service
- Demonstrated sound judgment and discretion in all matters; effective conflict resolution
- Above-average ability to be flexible, organized, manage time, multi-task and set/shift priorities while meeting deadlines
- High level of interpersonal and relationship skills essential with the ability to operate in a dynamic, fast-paced, customer-driven environment
- Attention to detail with a high level of accuracy
- A team player with the ability to cultivate a team spirit within the department as well as maintain interdepartmental positive collaboration
- Series 7
Preferred:
- Securities and/or broker dealer experience
About SFA Partners: SFA Partners provides shared services to a family of companies focused exclusively on empowering independent financial advisors. SFA Partners includes The Strategic Financial Alliance (SFA), member FINRA/SIPC, a broker-dealer and investment adviser; Strategic Blueprint, a registered investment adviser; and SFA Insurance Services. Our wide breadth of services enables us to support a variety of advisor business models.
Parent company, SFA Holdings, Inc. is owned by advisors, employees, and individual investors.