Operations & Service Specialist

Signature Estate & Investment Advisors, LLC; Los Angeles (CA); On-site; USD 70,000 - 90,000; Full time

Job summary

Signature Estate & Investment Advisors, LLC is seeking an intermediate- level operations professional to support end-to-end client service and operational processes for small to mid-sized advisor practices in Los Angeles. The role balances execution with problem solving and delivering excellent client service.

You will manage workflows, serve as the operations contact for advisor teams, resolve moderately complex issues, monitor accounts for service needs or risks, and ensure regulatory

Qualifications

• Experience supporting advisor practices in operational roles.
• Knowledge of mutual funds, ETFs, managed accounts, and annuities.
• Licensing in progress or held (Series 7 or 66).

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, alt 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.

Skills

Client service

Problem solving

Ownership

Cross-team collaboration

Mentorship

Regulatory awareness

Education

Series 7 or 66 license

Tools

CRM systems

Onboarding workflows

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