Wealth Ops Lead Specialist- Business Support

As the Wealth Operations Team Lead- Business Support, you will assist in the supervision and coaching of specialists, thus ensuring a high level of service is delivered within all Wealth Management operations departments.

Primary responsibilities include

• Ensure Financial advisor/client requests, inquiries and concerns are handled efficiently and effectively with prompt and accurate resolution.

• Provide direction, clarity, and coaching when needed.

• Ensure SLAs are maintained by continuously monitoring workflow queues.

• Identify trends and make recommendations for improvement.

• Serve as a resource in the resolution of complex issues/problems.

• Provide assistance to staff, including performing in-line controls and regulatory supervision.

• Ensure adherence to all policies and regulatory requirements.

• Develop and implement procedural guides; perform regular reviews to ensure that they are up to date; communicate any changes that are implemented.  

• Qualifications, Education, Certifications and/or Other Professional Credentials

• FINRA Series 7 and 63 Licenses required.
   
• FINRA Series 24 required, or ability to obtain within 90-days of joining.
   
• 1+ years prior back-office Wealth Management Sales, Operations or Contact Center experience required.
   
• Positive and customer-focused mindset
   
• Strong listening and problem-solving abilities, persistent enthusiasm when interacting with customers.
   
• Strong verbal and written communication skills
   
• Goal oriented professionals with an interest Wealth Management and Investment Products
   
• Detail oriented with a strong sense of urgency. 
   
• Ability to learn and understand various Computer Based systems – Salesforce, Mainframe, etc.
   
• Completed High School degree or GED Equivalent

*Preferred Requirements:

• Demonstrated successful stable work history.

• Completed associates and/or bachelors college degree.

• 1+ years of financial service operational experience

 Hours & Work Schedule:

• Hours per Week: 40
• Work Schedule: M-F: 8:30 AM ET - 5:00 PM ET; Occasional OT Optional – 100% In Office 5 days/week

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