Step into an instrumental role. Work as an employee of an independent advisor franchisee with a financial advisory practice of Ameriprise Financial.
As an Operations Specialist, you will play a key role in delivering a distinctive client experience that sets our practice apart.
We are a dynamic team of professionals dedicated to “Clients First” - engaging, informing, and empowering so that they can confidently navigate life's journey.
The Operations Specialist partners with the Operations Trading Specialist to serve as a cross-trained resource for trading and investment operations.
This role focuses on delivering operational excellence through workflow management, client service support, account administration, and reporting.
Key Responsibilities
Trading Operations
· Crosstrain on trading, discretionary account management, and investment operations processes.
· Execute trades, implement account rebalances, process money movement requests, and support portfolio implementation in accordance with advisor direction and firm procedures.
· Monitor incoming funds, ACAT transfers, periodic arrangements, and other investment related transactions.
· Perform quality control reviews and operational documentation related to trading and investment activities.
· Provide back-up support for the Operations Trading Specialist during absences, periods of increased volume, or as business needs require.
Client Service & Account Administration
· Support client onboarding, account opening, and account maintenance activities.
· Prepare and process paperwork for client requests, including beneficiary changes, address updates, transfers, distributions, and account servicing.
· Assist with money movement requests and ensure timely and accurate processing.
· Maintain documentation and records in accordance with Ameriprise and firm requirements.
· Follow up proactively on outstanding items to ensure a positive client experience.
Operations & Workflow Management
· Manage daily operational workflows and service requests through CRM and Ameriprise systems.
· Monitor task queues, alerts, and operational reports to ensure timely completion of activities.
· Coordinate administrative processes across advisors and support team members.
· Identify opportunities to improve operational efficiency and enhance team productivity.
· Assist with business continuity, operational projects, and process documentation.
Compliance & Risk Management
· Adhere to Ameriprise Financial policies, firm procedures, and regulatory requirements.
· Maintain complete and accurate documentation for operational activities.
· Protect client confidentiality and ensure secure handling of sensitive information.
· Support audits, compliance reviews, and operational controls as required.
Advisor & Team Support
· Collaborate with advisors, operations personnel, and corporate partners to support client needs.
· Provide operational support for advisor initiatives, meetings, and client service activities.
· Serve as a resource for team members regarding procedures, workflows, and operational best practices.
· Support office-wide initiatives and special projects as assigned.
Reporting & Business Analysis
· Generate and maintain operational, client service, and business reports.
· Assist with data analysis, quality control reviews, and reporting needs for advisors and leadership.
· Verify accuracy of account information, transactions, and operational records.
· Support maintenance of client and business data across systems.
Tools & Systems
· Ameriprise Client Management and operational systems
· CRM platforms and workflow management tools
· Status Manager
· Vestmark and Thomson (backup support functions)
· Portfolio and Performance reporting
· Microsoft Office Suite and reporting applications
Key Traits
· Desire and mindset to uphold the mission and values of Impact Financial Group.
· High level of professionalism, organization, and interpersonal skills.
· Strong commitment to delivering exceptional client service.
· Ability to communicate effectively with clients and team members at all levels of the organization.
· Initiative, adaptability, and willingness to support a variety of operational functions.
· Detail-oriented with strong follow-through and problem-solving abilities.
· Adherence to rules and regulations as stated and required by the advisor and Ameriprise Financial.
Qualifications
· Bachelor's Degree preferred.
· Two or more years of experience in financial services.
· Working knowledge of brokerage, advisory, and financial planning operations preferred.
· Series 7 and Series 66 (or willingness to obtain) preferred but not required.
· Proficiency with CRM systems, Microsoft Office applications, and financial services technology platforms.
· Commitment to ongoing financial services and industry education.
Compensation and Benefits
Expected Base Pay Range:Based on experience, qualifications, and licensing.
Additional Compensation:
· Quarterly Bonus Plan
· Health Benefit Plans (Medical, Vision, Dental)
· Paid Time Off
· Parental Leave
· 401(k) Match
· Tuition Reimbursement
· Career Development Opportunities