Operations Associate

The Operations Assistant supports Financial Professionals with the operational and administrative management of their investment practice. This role focuses on executing day-to-day operational workflows, managing documentation and service requests, and maintaining organized, compliant processes to ensure efficient practice operations. This role does not make sales, maintain a book of business, or provide financial advice or recommendations to clients. Licensing is not required for this position. 

The Operations Assistant role is designed to be flexible and may be tailored using defined role task checklists to align with the specific operational needs of a practice.

Core Responsibilities:

• Support Financial Professionals with operational and administrative functions related to daily practice management
• Manage workflows related to account maintenance, service requests, and operational follow-up
• Prepare, process, and track paperwork to ensure timely and accurate completion
• Maintain accurate client and operational records in firm-approved systems and tools (e.g., CRM, AdviceWorks/SmartWorks)
• Track outstanding operational items and follow up to ensure resolution
• Maintain organized electronic and physical filing systems in accordance with compliance standards
• Support practice processes related to client servicing, internal coordination, and operational efficiency
• Partner with Financial Professionals to support workflow organization and process improvement
• Participate in regular meetings with Financial Professionals to align on operational priorities and tasks
• Adhere to firm policies and regulatory requirements while maintaining confidentiality and data integrity

Required Knowledge, Skills, and Abilities: 

• Strong organizational and time-management skills
• High attention to detail in a regulated environment 
• Ability to manage multiple priorities and deadlines 
• Strong written and verbal communication skills 
• Proficient with technology and ability to learn firm systems (Microsoft Office including Word, Excel, and PowerPoint) 

Minimum Required Education & Experience: 

• High School diploma or equivalent 
• Some college preferred 

Travel Requirements: 0%