Advisory Operations Analyst

Title: Advisory Operations Analyst

Location: 550 S Tryon St Charlotte, NC

Duration: 3 months

Work Engagement: W2

Work Schedule: 3 days in office/2 days remote

Benefits on offer for this contract position: Health Insurance, Life insurance, 401K and Voluntary Benefits

Summary:

We are seeking a detail-oriented operations professional to support advisory account processing, account maintenance activities, quality control reporting, and operational improvement initiatives. This role will primarily assist with processing requests from Financial Advisors (FAs), reviewing account activity, validating data accuracy, and supporting quality assurance efforts while the team transitions to a new processing platform.

The ideal candidate will have strong operational processing experience, exceptional attention to detail, and the ability to analyze reports, identify discrepancies, and recommend process improvements. This individual will play a key role in maintaining operational accuracy while helping improve efficiency and strengthen controls across the department.

Responsibilities:

Advisory Account Processing

• Process account-related requests submitted by Financial Advisors and clients.

• Review documentation and update account records accurately and efficiently.

• Ensure account information is properly established and maintained within internal systems.

• Support day-to-day operational processing activities and manage incoming requests.

Quality Control & Reporting

• Review QC reports and identify errors, exceptions, and processing discrepancies.

• Analyze operational reports and escalate issues when necessary.

• Perform quality assurance reviews to ensure adherence to established procedures.

• Assist with validation of testing results and support issue resolution efforts.

Data Analysis

• Analyze data and account activity to identify trends, inconsistencies, and opportunities for improvement.

• Generate and review reports using Excel and other reporting tools.

• Research and resolve operational exceptions and account-related issues.

• Utilize Excel functions and formulas to organize, validate, and analyze data.

Process Improvement & Risk Management

• Evaluate existing workflows and identify opportunities to enhance efficiency and accuracy.

• Recommend process improvements while maintaining strong operational controls.

• Identify potential risks, control gaps, or process vulnerabilities and escalate as appropriate.

• Support continuous improvement initiatives across the team.

Project & System Support

• Assist with Activity and InvestCloud-related initiatives.

• Support testing activities, documentation reviews, and implementation efforts.

• Help transition operational processes into new systems and workflows.

• Balance project deliverables with ongoing operational responsibilities.

Collaboration

• Partner with Advisory Operations, Account Maintenance teams, business partners, and technology teams.

• Communicate findings, recommendations, and operational updates clearly and professionally.

• Participate in team discussions focused on operational excellence and process improvement.

Qualifications:

• Applicants must be authorized to work for ANY employer in the U.S. This position is not eligible for visa sponsorship.

• Previous operations, financial services operations, or back-office processing experience.

• Strong attention to detail and commitment to accuracy.

• Experience reviewing, processing, and validating information in a high-volume environment.

• Ability to read, interpret, and analyze operational reports.

• Strong analytical and problem-solving skills.

• Intermediate to advanced Microsoft Excel skills, including working with formulas, data analysis, and reporting.

• Ability to identify process issues and recommend improvements.

• Strong written and verbal communication skills.

• Proven employment stability, with demonstrated tenure of one year or longer in prior positions.

• Wealth management, brokerage, or advisory operations experience. (preferred)

• Previous Wells Fargo experience. (preferred)

• FINRA licenses or other financial services licenses. (preferred)

• Quality Assurance (QA) or quality control experience with a focus on analysis and reporting. (preferred)

• Experience supporting system conversions, implementations, or operational projects. (preferred)

• Experience with Excel-based reporting and data validation. (preferred)

• Exposure to operational risk management and controls. (preferred)