Client Operations Specialist

Moran Wealth Management®; Naples (FL); On-site; USD 55,000 - 75,000; Full time

Benefits offered by this job

Health insurance

Retirement plan

PTO and holidays

Parental leave

Professional development

Job summary

Moran Wealth Management® is seeking a client operations specialist to support day‑to‑day client operations, ensuring accuracy, efficiency, and regulatory compliance in account management, transaction processing, and reporting.

You will collaborate with the client service team, financial advisors, and relationship managers to deliver seamless service, maintain records, and improve operational workflows. This in‑person role emphasizes operational excellence and adherence to regulatory standards.

Qualifications

• Associate or bachelor’s degree in finance, Economics, Business, or a related field.
• FINRA Series 65 or progress toward designation preferred.
• Experience in wealth management/financial services operations preferred.
• Strong analytical skills with attention to detail.
• Excellent interpersonal and communication skills.
• Capable of working independently and in a team.
• Strong organizational skills with multitasking ability.
• Experience in an RIA or fee-based advisory firm is a plus.

Responsibilities

• Oversee opening, maintenance, and closing of client accounts with accurate data entry across systems.
• Process client transactions (trades, transfers, asset movements, address changes) ensuring timely execution and regulatory compliance.
• Maintain up-to-date client records and handle routine account maintenance and service requests.
• Ensure all operations comply with regulatory requirements and audit procedures.
• Identify inefficiencies and propose improvements to reduce errors and boost client satisfaction.
• Provide service by researching issues, answering inquiries, and supporting client-facing teams.
• Collaborate with financial advisors and relationship managers to coordinate operational needs.

Skills

Analytical skills

Interpersonal communication

Independent & collaborative

Organizational skills

Confidentiality & integrity

Education

Associate or bachelor’s degree in finance/ Economics/ Business

Tools

CRM tools

Job description

As a client operations specialist, you will play a critical role in supporting day-to-day client operations, ensuring efficiency, accuracy, and compliance in client account management, transaction processing, reporting, and overall administrative functions. This individual will collaborate closely with the client service team to ensure seamless service and operational excellence. This role is an in-person position.

Primary Responsibilities

• Oversee the opening, maintenance, and closing of client accounts. Ensure all account details are accurately collected, entered, monitored, and updated in various systems.
• Assist with processing a variety of client transactions, including trades, transfers, asset movements, address changes, etc. ensuring timely execution and compliance with regulatory guidelines.
• Maintain accurate and up-to-date client records and handle routine client account maintenance and service requests.
• Ensure all operational activities comply with regulatory requirements and adhere to all audit and compliance procedures.
• Identify inefficiencies in current operational workflows and recommend improvements to enhance operational processes, reduce errors, and improve client satisfaction.
• Provide exceptional service by responding to inquiries, conducting research, resolving issues, and offering operational support for client-facing teams.
• Collaborate with financial advisors, relationship managers and other client service team members to coordinate operational needs and support client-focused initiatives.
• Actively engage in firm initiatives led by local management and attend client facing events or functions as needed.
• Participate in training and educational development programs to remain current on policies, procedures, risk management, and technology.
• Utilize CRM tools and other financial technology platforms to facilitate and document work.

Qualification & Experience

• Associate or bachelor’s degree in finance, Economics, Business, or a related field.
• Preferred certifications: FINRA Series 65 or progress toward obtaining this or a related designation.
• Prior experience in operations within the wealth management or financial services industry preferred, but not required.
• Strong analytical skills with attention to detail.
• Excellent interpersonal and communication skills.
• Capable of working both independently and collaboratively as part of a team.
• Strong organizational skills with the ability to manage multiple tasks simultaneously.
• Ability to handle sensitive information with confidentiality and integrity.
• Experience working within an RIA or fee-based advisory firm is a plus.

Compensation Package

• Competitive salary based on experience and qualifications
• Comprehensive health, dental, and vision insurance
• Life and disability insurance
• Retirement savings plan with employer contributions
• Generous paid time off (PTO) package and holiday leave
• Paid parental leave
• Professional development opportunities and training programs
• Educational reimbursement plan
• Flexible work hours and remote work options
• Employee wellness programs
• Referral bonuses and employee appreciation programs