Brokerage / Securities Ops Specialist

This position plays a critical role in supporting the accurate setup and maintenance of advisory accounts and ensuring account information is appropriately established and maintained within the system of record. 

The individual will be responsible for reviewing account information, processing updates, validating account coding, analyzing data, and resolving exceptions to ensure operational accuracy.

In addition to supporting day-to-day operations, the resource will contribute to ongoing Activity and InvestCloud initiatives by identifying process improvement opportunities

Supporting project implementation efforts, analyzing business requirements, and helping mitigate operational risks. 

Maintaining this position is essential to supporting both operational responsibilities and strategic project deliverables.

Day in the Life
A typical day involves reviewing and processing advisory account setup and maintenance requests, ensuring account information is accurately entered and maintained within the system of record, and validating appropriate account coding. 

The individual will analyze operational reports, research discrepancies, resolve exceptions, and partner with internal teams to ensure accurate and timely account processing.
The role also includes participating in strategic initiatives and project work related to Activity and InvestCloud, gathering business requirements, supporting testing activities, evaluating operational risks, and identifying opportunities to improve processes and efficiencies. 

Success in this position requires strong attention to detail, analytical thinking, problem-solving skills, and the ability to balance operational responsibilities with project deliverables.

Nice to Have Skills
1. Experience with advisory account processing, account maintenance, or brokerage operations
2. Experience working with data analysis and reporting tools (Excel, Alteryx, Power BI, or similar)
3. Experience supporting system implementations, process improvement initiatives, or business projects

Top Skills Needed
Attention to Detail
• Review and process account setup and maintenance requests with a high degree of accuracy.
• Validate account coding and data entry to ensure information is accurately reflected within firm systems.

Data Analysis & Reporting
• Analyze account data, operational reports, and exception reporting to identify trends, discrepancies, and opportunities for improvement.
• Review data to support decision-making and operational risk management.

Process Improvement & Critical Thinking
• Evaluate existing processes and identify opportunities to improve efficiency, reduce manual effort, and enhance the client and advisor experience.
• Recommend solutions that improve workflows while maintaining appropriate controls.

Risk Identification & Control Awareness
• Identify potential operational risks, control gaps, and process vulnerabilities.
• Support efforts to strengthen controls and ensure compliance with firm policies and procedures.

Communication & Partnership
• Collaborate effectively with Account Opening & Maintenance, other Advisory teams, business partners, and technology teams.
• Communicate findings, recommendations, and project updates clearly and professionally.