Operations Specialist

STRATOS; Beachwood (OH); On-site; USD 52,000 - 72,000; Full time

Job summary

STRATOS is seeking an Operations Specialist to support senior advisors and their staff with client inquiries, transaction processing, and timely resolution of client requests. The role emphasizes risk management awareness, collaboration across departments, and proficiency with custodial platforms.

The candidate will build relationships with clients and colleagues, work independently and within a team, and contribute to process improvements while staying current on financial services regulations.

Qualifications

• Bachelor’s degree in business administration, finance, or related field.
• FINRA Series 7 and 63 preferred.
• 2+ years of experience in client service or related field.
• Strong understanding of financial services terminology and regulations.
• Proficient in Microsoft Office Suite and other relevant software.
• Excellent communication, interpersonal, and organizational skills.
• Detail-oriented and able to multitask.

Responsibilities

• Provide client service to our Stratos financial advisors and asset management partners.
• Work with multiple custodians to facilitate operational functions such as new account openings, transfers, money movements, etc.
• Serve as a subject matter expert on custodial platforms.
• Service Insurance & Annuity related requests assigned to the House Brokerage Program.
• Display problem solving abilities and facilitate escalations with custodians as needed.
• Serve as an internal resource for account servicing and custodian-related inquiries.
• Identify and resolve client issues promptly.
• Provide resolution to complex issues.
• Assist with the onboarding of advisors and staff (licensed and non-licensed).
• Contribute to development and implementation of new processes and procedures.
• Stay up to date on industry knowledge and best practices.
• Build and maintain positive relationships with clients and colleagues.
• Work independently and as part of a team.
• Meet deadlines and maintain strong attention to detail.
• Provide front desk coverage as needed.
• 2+ years of RIA industry experience (preferably with a large RIA).
• Familiarity with LPL, Fidelity and/or Charles Schwab a plus.
• CRM experience preferred (Salesforce Experience is a plus).

Skills

Client service

Operational tasks

Risk management

CRM experience

MS Office

Communication skills

Multitasking

Independent work

Team collaboration

Education

Bachelor\'s degree in business/finance

Tools

Salesforce

Microsoft Office

Job description

Job Description

The Operations Specialist will report directly to the Director of Operations. The Operations Specialist is responsible for providing a wide range of administrative and client support services. They will work closely with advisors and their staff to field inquiries, process transactions, and ensure client requests are resolved timely. The Operations Specialist also works closely with various departments within Stratos. The Operations Specialist also plays a key role in risk management, identifying items that require urgent attention, and ensuring items are responded to timely.

Job Responsibilities

• Provide client service to our Stratos financial advisors and asset management partners.
• Work with multiple custodians to facilitate any operational functions such as new account opening, transfers, money movements, etc.
• Serve as a subject matter expert on all custodial platforms.
• Service Insurance & Annuity related requests assigned to the House Brokerage Program.
• Display problem solving abilities and facilitate any escalations necessary with the various custodians.
• Serve as an internal resource for account servicing, custodian-related inquiries, and the House Brokerage Program.
• Identify and resolve client issues promptly.
• Provide resolution to complex issues.
• Assist with the licensed and non-licensed onboarding of advisors and their staff.
• Contribute to the development and implementation of new processes and procedures.
• Stay up to date on industry knowledge and best practices.
• Build and maintain positive relationships with clients and colleagues.
• Work independently and as part of a team.
• Meet deadlines and maintain strong attention to detail.
• Provide front desk coverage as needed.
• Bachelor’s degree in business administration, finance, or related field.
• FINRA Series 7 and 63 preferred.
• 2+ years of experience in client service or a related field.
• Strong understanding of financial services terminology and regulations.
• Proficient in Microsoft Office Suite and other relevant software.
• Excellent communication, interpersonal, and organizational skills.
• Detail-oriented and able to multitask.
• Ability to work independently and take initiative.
• Positive and enthusiastic attitude.
• Commitment to providing excellent customer service.
• Ability to work in a fast-paced environment.
• 2+ Years of RIA industry experience (preferably with a large RIA).
• Familiarity with LPL, Fidelity and/or Charles Schwab a plus.
• CRM experience preferred (Salesforce Experience is a plus).