Senior Operations Specialist

MAI Wealth Management, Inc.; Independence Township (OH); On-site; USD 50,000 - 63,000; Full time

Job summary

MAI Wealth Management, Inc. in Independence, OH seeks a Senior Operations Specialist to handle daily operational requests including onboarding, maintenance, and transaction entry, supporting front-, middle-, and back-office needs.

You will collaborate with the Operations Team Leader to align tasks with short- and long-term goals. The position requires 1–3 years in securities operations, proficiency with MS Office, and strong analytical and communication skills.

Qualifications

• BA/BS degree in Finance, Accounting, or related field.
• 1–3 years of experience in securities operations.
• Knowledge of equity and fixed income securities and other investment vehicles.
• Proficient with Microsoft Office suite, including Excel, Outlook, Word, Adobe, PowerPoint.

Responsibilities

• Perform setup and maintenance activities for all requests related to products and services administered within the department.
• Identify and communicate opportunities for process improvement and efficiency.
• Execute standard, scheduled transactions/processes utilizing standard procedures.
• Provide responses and documentation to inquiries and ad hoc requests.
• Demonstrate proficiency with CRM application, including workflow design, integrations, and problem resolution.
• Reconcile reports, exceptions, and validation of transactions; daily quality control and error-rate management.
• Effective communication with advisors and other operational groups to resolve discrepancies.
• Demonstrate expertise in technical functions, research of issues, critical thinking, problem solving, independent decision making and effective communication.
• Interact with custodians as necessary to resolve discrepancies.
• Promote and implement governance and best practices affecting operational risk.
• Participates in projects as needed.

Skills

CRM proficiency

MS Office Suite

Analytical thinking

Communication skills

Education

BA/BS in Finance, Accounting, or related field

Tools

CRM software

Excel

Job description

If you are unable to complete this application due to a disability, contact this employer to ask for an accommodation or an alternative application process.

Senior Operations Specialist

Full Time Independence, OH, US

16 days ago Requisition ID: 1912

Salary Range: $50,400.00 To $63,000.00 Annually

GENERAL JOB DESCRIPTION

The Senior Operations Specialist is responsible for processing a variety of daily operational requests such as account onboarding, maintenance, transaction entry, billing, quarterly reporting, and other client and advisor requests. This role provides both strategic and tactical perspectives to ensure the Investment Operations team efficiently meets the front, middle, and back-office needs of the firm. In addition, the Senior Investment Operations Specialist partners with the Operations Team Leader and Operations Team Manager to prioritize a varied and diverse set of tasks to meet both short and long-term goals.

MAJOR DUTIES AND RESPONSIBILITIES

• Ability to work in a dynamic environment, where the roles and responsibilities are evolving in response to the implementation of new processes and procedures.
• Perform setup and maintenance activities for all requests received related to products and services administered within the department.
• Identify and communicate opportunities for process improvement and efficiency.
• Executes standard, scheduled transactions/processes utilizing standard procedures. May have specific responsibility for specialized product or functional area.
• Provides responses and documentation to inquiries and ad hoc requests. Provides feedback on workflow and work received.
• Demonstrates proficiency with CRM application, including but not limited to workflow design, integrations, and problem resolution.
• Reconcile reports, exceptions, and validation of transactions. Responsible for daily quality control, managing error rates, exception review processing and daily reporting.
• Effective communication with advisors and other operational groups to resolve various account discrepancies.
• Demonstrate expertise in the areas of technical functions, research of issues, critical thinking, problem solving, independent decision making and effective communication.
• Interact with custodians as necessary to resolve discrepancies.
• Promotes and implements best practices in the application of policies, processes, procedures, and other elements of governance affecting operational risk throughout the organization.
• Participates in projects as needed.

EXPERIENCE/CREDENTIALS

• B.A. or B.S. degree, in Finance, Accounting, or related field
• Minimum 1-3 years of experience in securities operations
• Knowledge of equity securities, fixed income securities, and various other investment vehicles
• Proficient with Microsoft Office suite, including Excel, Outlook, Word, Adobe, PowerPoint

COMPETENCIES

• Thrives in a fast-paced and dynamic team-based, collaborative environment, and works well with others to resolve conflicts
• Strong organizational and interpersonal skills with a demonstrated commitment to teamwork and partnerships
• Excellent oral and written communication skills
• Demonstrated problem solving and analytical abilities, with a focus on analyzing information and resolving complex problems
• Organized, detail-oriented, able to meet deadlines, while still maintaining flexibility to prioritize and execute to meet client and firm needs and support peak volumes
• Ability to learn other MAI financial software tools and stays abreast of software updates
• Maintains absolute confidentiality of all client information and safeguards client and firm data; maintains high ethical standard in all practices
• Professional and positive demeanor, superb work ethic, high level of personal ethics and integrity