Client Operations Specialist

Moranwealthmanagement; Naples (FL); On-site; USD 60,000 - 85,000; Full time

Benefits offered by this job

Health insurance

Retirement plan

Paid time off (PTO)

Parental leave

Professional development

Job summary

Moran Wealth Management is seeking a client operations specialist to support day-to-day client account management, transactions, reporting, and administrative tasks. This in-person role collaborates with the client service team to ensure efficient and compliant operations.

The ideal candidate will have a finance/economics/business background, strong analytical and communication skills, and ability to work independently or as part of a team. Experience in wealth management operations is a plus.

Qualifications

• Associate or bachelor’s degree in finance, Economics, Business, or a related field.
• FINRA Series 65 or progress toward this designation.

Responsibilities

• Oversee opening, maintenance, and closing of client accounts with accurate data entry across systems.
• Process client transactions including trades, transfers, and asset movements ensuring timely execution and regulatory compliance.
• Maintain up-to-date client records and handle routine account maintenance requests.
• Ensure operations comply with regulatory requirements and audit procedures.
• Identify and suggest improvements to operational workflows to reduce errors and improve satisfaction.
• Provide service by responding to inquiries, conducting research, resolving issues for client-facing teams.

Skills

Analytical skills

Interpersonal skills

Communication skills

Organizational skills

Teamwork

Education

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

Tools

CRM systems

Financial technology platforms

Job description

Moran Wealth Management, LLC is a Registered Investment Advisory firm delivering comprehensive bespoke solutions designed to meet the unique wealth management needs of clients. We take pride in our ability to foster long-term relationships built on trust, transparency, and a commitment to financial excellence. As we expand our team, we are looking for experienced financial consultants to help drive our vision forward.

Job Summary

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

Moran Wealth Management® is an Equal Opportunity Employer. All qualified candidates will receive consideration for employment.