Brokerage, Communication Skills, Customer Experience, Finance, Financial Services, Operational Support, Operations Management, Operations Processes, Operations Research, Organizational Skills, Problem Solving Skills, Process Improvement, Regulations, Regulatory Compliance, Securities and Exchange Commission (SEC), Series 24, Series 63, Series 7, Transaction Processing/Management, Wealth Management
A financial services enterprise that owns and operates a network of industry-leading firms that empower independent financial advisors is seeking a Senior Operations Specialist to join their team. The Senior Operations Specialist supports the day-to-day operational functions of the wealth management business, ensuring accurate transaction processing, account maintenance, and regulatory compliance. This role partners with advisors, custodial platforms, and internal teams to deliver a high-quality client experience while maintaining operational controls.
Responsibilities
•Manage operational workflows including account openings, transfers, cash movements, trade support, and account maintenance
•Ensure transactions are processed accurately and in compliance with firm policies and regulatory standards
•Research and resolve operational issues, discrepancies, and escalations
•Support regulatory audits, branch inspections, and internal reviews
•Partner with internal departments on operational initiatives and process improvements
Qualifications
•10+ years of operations experience within Wealth Management, Brokerage, or Financial Services
•Strong knowledge of Client and SEC regulations, particularly in an Independent Broker/Dealer environment
•Excellent communication, organizational, and problem-solving skills
•Bachelor's degree preferred in Finance, Business, or related field
Required Licenses
•SIE
•Series 7 (8+ years required)
•Series 63 or 66
•Series 24 (8+ years required)
P
Phaxis
We stand for PERSEVERANCE, as we refuse to quit when the journey gets tough. Your gold is our mission, and we search day and night to find it.
50 to 99 employees
Staffing/Employment Agencies