Operations & Service Specialist

Signature Estate & Investment Advisors, LLC; Los Angeles (CA); On-site; USD 75,000 - 110,000; Full time

Job summary

Signature Estate & Investment Advisors, LLC is seeking an intermediate operations professional to manage end-to-end client service workflows and support a range of advisor teams in Los Angeles. The role balances execution with problem-solving and proactive service delivery.

The position emphasizes ownership of the request lifecycle, mentorship of junior staff, and collaboration across operations. Licensing is required or in progress (Series 7/66).

Qualifications

• End-to-end client service and operations workflows.
• Regulatory and firm compliance awareness.
• Ability to train and coach junior staff.

Responsibilities

• Manage end-to-end workflows for client service and operational requests
• Serve as operations contact for assigned advisor teams
• Resolve moderately complex issues (trading, transfers, onboarding, alternative investments)
• Proactively monitor accounts and identify service needs or risks
• Ensure compliance with firm and regulatory requirements
• Assist in training junior staff and improving processes
• Ownership of full request lifecycle and process improvements
• Collaboration across operations and CSA functions

Skills

Client service

Operations management

Problem solving

Analytical thinking

Mentorship

Reporting

Cross-team collaboration

Time management

Education

Licensing: Series 7 or 66

Tools

CRM software

Job description

Intermediate role with increased ownership of end-to-end operational processes and direct support of small to mid-sized advisor practices. Balances execution with problem-solving and client service delivery.

Key Responsibilities

• Manage end-to-end workflows for client service and operational requests
• Serve as operations contact for assigned advisor teams
• Resolve moderately complex issues (trading, transfers, onboarding, alternative investments)
• Proactively monitor accounts and identify service needs or risks
• Ensure compliance with firm and regulatory requirements
• Assist in training junior staff and improving processes

Detailed Task Responsibilities by Competency Area

Technical Operations

• Paperwork & NIGO: Independently resolves most NIGO scenarios; minimal escalation needed
• Reconciliation: Performs full recon independently across custodians; investigates breaks
• CRM & Workflow: Processes advisor-submitted CRM requests end-to-end; manages own queue
• Audits & Controls: Conducts routine audits independently; identifies patterns in findings
• Request Handling: Manages advisor requests independently; communicates status proactively
• Advisor Relationship: Trusted resource for assigned advisors; anticipates recurring needs
• W2 Onboarding Support: Assists with data entry and system setup for new W2 advisors

Products & Compliance

• Core Product Knowledge: Working knowledge of mutual funds, ETFs, managed accounts, and annuities
• Alternative Investments: Basic familiarity; can process simple alts paperwork with guidance
• RIA & BD Compliance: Understands regulatory context for common tasks; avoids compliance shortcuts
• Licensing: Series 7 or 66 (or equivalent) preferred or in progress

Leadership & Development

• Ownership & Initiative: Takes ownership of full request lifecycle; flags process gaps proactively
• Mentorship & Training: Helps onboard new Representatives informally; shares knowledge with peers
• Reporting & Analytics: Pulls basic reports from CRM; tracks own productivity metrics
• Cross-Team Collaboration: Collaborates across ops and CSA functions; supports coverage for others

Scope & Complexity

• Supports small to mid-sized advisor practices with moderate complexity
• Handles escalations from Level 1
• Increasing autonomy in decision-making within guidelines
• Strong working knowledge of custodians, platforms, and products
• Active licenses (Series 7 or 66 or equivalent)
• Critical thinking and problem-solving skills
• Ability to prioritize competing service demands

Success Measures

• Quality of advisor and client service experience
• Resolution time for complex issues
• Reduced escalations and improved workflow efficiency
• Contribution to team productivity and training